The Associate Principal Business Analyst is responsible for supporting the establishment and maintenance of controls related to Member Supervision Records, Data Privacy and Entitlement Management programs and operations. Collaborate with Member Supervision stakeholders, enterprise records, data privacy and entitlement groups, and lead or assist with initiatives, to resolve or mitigate issues.
Essential Job Functions:
Provide essential support to the Information Manager for Member Supervision. Assist in implementing firm and department policies and procedures related to information classification, safeguarding of confidential information, establishing and administering related controls, reviewing and triaging loss reports and other applicable information management guidelines.
Provide essential support to the Records Manager for Member Supervision. Assist with related responsibilities such as responding to records related questions from Member Supervision staff, facilitating periodic records destruction processes, and maintaining documentation related to updates to official records.
Lead quarterly reviews of Records for destruction eligibility.
Identify and anticipate Records risks and provide recommendations to management.
Coordinate with each Line of Business within Member Supervision to ensure their unit has the correct entitlements to various shared folders, applications, SharePoint Sites etc.
Lead review of ongoing entitlement requests to ensure business justification meets each request and participate in annual entitlement certification reviews.
Participate in various working groups related to Records, Data Privacy and Entitlement Management
Trouble shoot issues with Member Supervision staff and liaises with Corporate Enterprise Records Unit, Data Privacy and Entitlements.
Responsible for department specific support activities, such as managing daily mailbox inquires which includes new user account creation and permission modification, account deactivation, updates and adding new values per business request.
Assist in the administration of SharePoint sites (e.g., content, structure, and entitlements) as needed. Serve as liaison between SharePoint Support and the business for the purposes of defining requirements.
Complete all assigned activities regarding department Records, Data Privacy and Entitlement Management programs.
Communicate effectively and demonstrate strong written and verbal skills across a wide range of stakeholders and team members, including management throughout the organization.
Provide guidance to staff members and management regarding policies and procedures.
Understand the broader program and enterprise strategy, operations, and processes to support management most effectively, including identification of interdependencies, risks, and issues.
Demonstrate strong collaboration and problem-solving skills to drive decisions.
Ensure the delivery of high-quality work products with strong attention to detail.
Help develop and maintain a positive and supportive work environment and culture.
Education & Experience Requirements:
A Bachelors degree or equivalent work experience will be considered
Minimum of 4 years relevant business experience is required.
Demonstrated organizational skills, strong verbal and written communication skills are essential. Ability to multitask and work independently.
Proficiency in Microsoft Office including Word, Excel, and PowerPoint.
Presence in a FINRA office may be required periodically.
Other Responsibilities:
Provide additional support as needed to support varying Member Supervision responsibilities related to program governance, business processes, and the coordination of intra and inter department initiatives.
Maintains current knowledge of applicable business activities.
Coordinates and provides status reports of assigned tasks or projects.
Compensation Range for Colorado locations
Annual Salary: $72,400.00 - $129,600.00
#LI-Hybrid
To be considered for this position, please submit an application.
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.
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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
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.
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