Senior Analyst, TS Market Operations

The Senior Analyst in Market Operations section of Transparency Services conducts reviews and analysis for Over-the-Counter equity securities to identify potential violations of applicable federal securities and FINRA rules and regulations, as well as ensuring market integrity and investor protection. This position is a professional individual contributor who works under close supervision in independent handling routine matters while collaborating with senior staff and management on complex issues. Essential Job Functions: Applies regulatory expertise in evaluating requests supporting FINRAs mission to maintain market integrity and investor protection. Reviews and analyzes documentation, financial statements and corporate filings to verify accuracy and identify inconsistencies or omissions. Evaluates submissions against applicable federal securities laws and FINRA rules to assess risk and recommend appropriate regulatory responses. Maintains accurate case management records, tracking milestones, deadlines, and follow-up actions to ensure timely resolution of cases. Documents all case activities in accordance with departmental standards, including analytical approaches, stakeholder communications (internal and external), case steps, outcomes, and referral to Market Oversight or external agencies. Communicates case findings and analytical conclusions to management through clear, well-organized presentations and written reports that support informed decision-making. Demonstrates a culture of intelligence, integrity, and initiative in day-to-day interactions with the team. Demonstrates FINRAs values. Collaborates, both in-person and virtually, in furtherance of FINRAs mission of investor protection and market integrity. Other Responsibilities: Participates in development and testing of analytics tools, investigative methodologies, and process improvements that enhance the efficiency and effectiveness of corporate action reviews. Remains current on industry trends, practices and regulatory impacts. Education/Experience Requirements: FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort Bachelors degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and related professional experience. Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder. Ability to identify potential securities rule violations. Demonstrated experience reviewing and analyzing financial statements, corporate filings, and regulatory documentation. Analytical and critical thinking skills with attention to detail. Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for senior management. Experience with case management systems and documentation practices. Understanding of risk assessment methodologies in a regulatory context. Organizational skills with ability to manage multiple cases, deadlines, and priorities simultaneously. Working Conditions: Hybrid work environment, with hours with defined in-person requirements. Hours may extend beyond normal business hours. Travel will be required, as necessary. For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidates skill set, level of experience, education, and market considerations. CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200 IL/PA: Minimum Salary $79,800, Maximum Salary $142,300 MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600 NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100 #LI-Hybrid 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. Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays. *Based on full-time schedule Important Information FINRAs Code of Conduct imposes restrictions on employees investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codes investment and securities account restrictions, and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. You can read more about these restrictions here. As standard practice, employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism. Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRAs Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! Visit FINRA's Technology Page About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SECs oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRAs independent regulation plays a critical role in Americas financial systemall at no cost to taxpayers. FINRA touches virtually every aspect of the securities businessfrom registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. 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