Associate Principal Governance Analyst, Surveillance Optimization and Innovation
Core
Manage governance for FINRA's surveillance program, including Knowledge Management Boards, inventory, reporting, and process optimization.
Role type
Associate Principal Governance Analyst
Builds
Governance processes and reporting for FINRA's surveillance program
Domain
Financial regulation / Securities surveillance
Deliverable
dashboards & analysis
Required skills
Governance policy development, Project management, Process improvement, Regulatory rules knowledge (FINRA/MSRB/Exchange Act), Surveillance lifecycle understanding
Preferred skills
Technology enablement, Stakeholder collaboration
Technologies
Knowledge Management Boards
Responsibilities
Operate Knowledge Management Boards, Manage surveillance inventory and reporting, Identify and implement governance optimizations, Support regulatory initiatives and rule filings
Seniority
Associate Principal, hands-on IC
