FINRA
Principal Data Analyst
FINRA, Rockville, Maryland, us, 20849
The Principal Data Analyst performs accurate data analysis in non-complex Enforcement matters in accordance with well-established methodology. The Principal Data Analyst is responsible for the strategic design and implementation of non-complex analytical and/or advanced data abstraction models for various securities products, fact patterns, new rules, high risk activities as well as performing ad hoc market analysis in support of the Enforcement Department. This role will be responsible for working with large volumes of data to identify securities law and rule violations, as well as detecting and understanding trends in the marketplace.
Essential Job Functions:Perform accurate data analysis in non-complex enforcement mattersConduct advanced analyses and establishes and maintains consistent methodologyServe as the quantitative research analyst in building sophisticated models, determining proper empirical methodology, organizing data collection, writing unique programs, preparing written reports, and summarizing the results of analytic studies in formal and informal presentationsIdentify and resolve questions about the best approach to data analysis to ensure consistency in matters across FINRASupport senior team members in more complex analytics projects for investigationIdentify new investigative or analytics techniques as needed and assess the model for consistency with accepted approachesDesign of quantitative reviews for detecting securities law and rule violations leveraging large volumes of equity, options and fixed income dataProvide efficient quantitative support for market studies and investigationsEffectively describe data analysis and findings, noting exceptions or assumptions embedded in analysisIdentify interpretive or novel issues, and participate in discussions with other departments regarding interpretive issuesCommunicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings and leveraging senior analytics team as needed
Efficiently complete data analysis in all types of enforcement Investigations and reviews to achieve timely resultsEstablish timelines and achieve them in a timely fashionIdentify and escalate matters or issues that require re-prioritization, and recommend next steps or alternative approachesPrioritize risks and needs appropriatelyProvide work product that requires minimal change or re-directionPerform peer review for analytics projects produced by the team to ensure consistent methodology and accurate output
Collaborate with investigative team, including attorneys, to produce a sound factual record supported by a clear legal framework in all types of mattersPartner with legal staff to plan investigation and fully develop the record in all matters, with respect to data analyticsAccurately and succinctly discuss case or issues in meetings with supervisor and other stakeholdersProvide clear and accurate factual analysis findings to legal staff, and provide insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidenceProactively identify and discuss relevant and accurate factual findings with legal staff including areas of weakness or factual ambiguityProvide effective testimony in litigation
Demonstrate ability to perform analysis in non-complex investigationsIdentify opportunities to work with staff in other departments or leverage other matters for more efficient resultsSupport management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation statusCounsel other staff on efficient ways to leverage collective knowledge and work across the organizationEnsure that team members’ contributions result in a consistent and coherent record and analysisWork with team members to achieve more efficient results. Keep managers informed and incorporate feedback into planning and executionProvide feedback and/or deliver training to other team members
Education/Experience Requirements:Bachelor's degree in Computer Science, Engineering, Statistics/Data Science/Analytics, or Economics/Finance/Accounting, or equivalent combination of education and experience. Advanced degree highly desirable.Minimum of six (6) years of related experience, with two (2) years of experience and knowledge in the field of quantitative analysis as it relates to the securities industry.Must have strong financial and risk analytical skills; experience in operations and risk modeling fields; and demonstrated ability to analyze large amounts of data in an efficient manner.Experience in advanced statistical methods, pattern recognition, outlier detection algorithms, and/or building predictive models preferred.Experience in one or more tools: SQL, Python/R, Strata, Power BI, Spark, Dataiku.Working Conditions:Hybrid or remote environment. At times, may work outside of normal business hours and overnight travel may be required.Salary Information:For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.CA: Minimum Salary $106,400, Maximum Salary $200,200CO/HI/MN/VT: Minimum Salary $92,500, Maximum Salary $166,800IL: Minimum Salary $101,800, Maximum Salary $183,900Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200MD/Washington, DC: Minimum Salary $106,400, Maximum Salary $191,800WA: Minimum Salary $92,500, Maximum Salary $191,800Application Process:To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.Equal Opportunity Employer:FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
#J-18808-Ljbffr
Essential Job Functions:Perform accurate data analysis in non-complex enforcement mattersConduct advanced analyses and establishes and maintains consistent methodologyServe as the quantitative research analyst in building sophisticated models, determining proper empirical methodology, organizing data collection, writing unique programs, preparing written reports, and summarizing the results of analytic studies in formal and informal presentationsIdentify and resolve questions about the best approach to data analysis to ensure consistency in matters across FINRASupport senior team members in more complex analytics projects for investigationIdentify new investigative or analytics techniques as needed and assess the model for consistency with accepted approachesDesign of quantitative reviews for detecting securities law and rule violations leveraging large volumes of equity, options and fixed income dataProvide efficient quantitative support for market studies and investigationsEffectively describe data analysis and findings, noting exceptions or assumptions embedded in analysisIdentify interpretive or novel issues, and participate in discussions with other departments regarding interpretive issuesCommunicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings and leveraging senior analytics team as needed
Efficiently complete data analysis in all types of enforcement Investigations and reviews to achieve timely resultsEstablish timelines and achieve them in a timely fashionIdentify and escalate matters or issues that require re-prioritization, and recommend next steps or alternative approachesPrioritize risks and needs appropriatelyProvide work product that requires minimal change or re-directionPerform peer review for analytics projects produced by the team to ensure consistent methodology and accurate output
Collaborate with investigative team, including attorneys, to produce a sound factual record supported by a clear legal framework in all types of mattersPartner with legal staff to plan investigation and fully develop the record in all matters, with respect to data analyticsAccurately and succinctly discuss case or issues in meetings with supervisor and other stakeholdersProvide clear and accurate factual analysis findings to legal staff, and provide insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidenceProactively identify and discuss relevant and accurate factual findings with legal staff including areas of weakness or factual ambiguityProvide effective testimony in litigation
Demonstrate ability to perform analysis in non-complex investigationsIdentify opportunities to work with staff in other departments or leverage other matters for more efficient resultsSupport management and others to inform internal and external constituents on overall program vision, strategy, operations, processes, and implementation statusCounsel other staff on efficient ways to leverage collective knowledge and work across the organizationEnsure that team members’ contributions result in a consistent and coherent record and analysisWork with team members to achieve more efficient results. Keep managers informed and incorporate feedback into planning and executionProvide feedback and/or deliver training to other team members
Education/Experience Requirements:Bachelor's degree in Computer Science, Engineering, Statistics/Data Science/Analytics, or Economics/Finance/Accounting, or equivalent combination of education and experience. Advanced degree highly desirable.Minimum of six (6) years of related experience, with two (2) years of experience and knowledge in the field of quantitative analysis as it relates to the securities industry.Must have strong financial and risk analytical skills; experience in operations and risk modeling fields; and demonstrated ability to analyze large amounts of data in an efficient manner.Experience in advanced statistical methods, pattern recognition, outlier detection algorithms, and/or building predictive models preferred.Experience in one or more tools: SQL, Python/R, Strata, Power BI, Spark, Dataiku.Working Conditions:Hybrid or remote environment. At times, may work outside of normal business hours and overnight travel may be required.Salary Information:For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.CA: Minimum Salary $106,400, Maximum Salary $200,200CO/HI/MN/VT: Minimum Salary $92,500, Maximum Salary $166,800IL: Minimum Salary $101,800, Maximum Salary $183,900Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200MD/Washington, DC: Minimum Salary $106,400, Maximum Salary $191,800WA: Minimum Salary $92,500, Maximum Salary $191,800Application Process:To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.Equal Opportunity Employer:FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
#J-18808-Ljbffr