Associate Principal Analyst, International Affairs

14 Jul, 2020


Associate Principal Analyst, International Affairs

Washington, DC/New York, NY

The Office of International Affairs (OIA) leads FINRA’s external relations with foreign regulators. OIA supports FINRA’s mission by collaborating with internal departments seeking cross-border information and assistance, and by promoting, building and facilitating relationships with foreign regulators. OIA also is responsible for coordinating FINRA’s participation in multilateral organizations, including contributions to international regulatory policy initiatives and publications. The team also monitors global regulatory policy developments and provides research and analysis of foreign laws, rules and policy initiatives to inform senior management and FINRA’s departments, and to contribute externally to global reports, surveys and other efforts.

The Associate Principal Analyst will be responsible for engaging with foreign regulators, both bilaterally and multilaterally, and with multiple departments in FINRA to facilitate cross-border cooperation and information sharing. The analyst also will be responsible for independently researching and analyzing foreign regulatory developments to inform internal and external stakeholders and will prepare a variety of written work product under the general direction of the Senior Director, Office of International Affairs.

Essential Job Functions:

  • Conduct research and analysis of international developments covering a wide range of financial regulatory topics and jurisdictions with minimal supervision to inform senior management and contribute inputs to internally and externally-facing documents.
    • Identify the appropriate analytic framework(s) as well as source material(s) for the research and analysis, which may include a cross-country analysis of foreign regulatory requirements as a benchmark against FINRA rules and regulatory notices.
    • Research highly diverse topics, for example, trends in global market developments, developments of international bodies and key foreign regulators including regulators in the United Kingdom, Canada, Australia, Europe, and Asia, or evolving foreign statutory and regulatory requirements within a particular area within the financial services industry.
  • Lead, or contribute to, the preparation of:
    • Externally-facing documents: May include contributions to the International Organization of Securities Commissions (IOSCO) Reports, IOSCO Survey responses, other international bodies or multilateral projects; or responses to foreign regulator bilateral requests for assistance.
    • Internally-facing documents: Draft briefing memoranda for senior management in advance of bilateral or multilateral meetings, written analysis and input to FINRA’s retrospective rule reviews or other internal initiatives, or internal-wide periodic communications on international regulatory developments.
  • Collaborate with internal departments, including Member Supervision, Market Regulation, Enforcement, Office of General Counsel and Office of Financial Innovation – to analyze, make recommendations, and facilitate coordination with foreign regulators with respect to cross-border requests for assistance involving the sharing of regulatory intelligence, investigative matters, judicial assistance, foreign regulatory requests, or other topics. Ensure that the transmission of confidential information follows procedures for information-sharing with foreign regulators including applicable Memoranda of Understanding and work to resolve any questions or new issues that may arise.
  • Contribute to the strategy, analysis and preparatory work involved in OIA’s multilateral engagement work including FINRA’s participation on various IOSCO committees as well as the organization, development and delivery of two annual international roundtables.
  • Interact and facilitate engagement with both FINRA and external stakeholders, including foreign regulators, multilateral organizations, the SEC, CFTC, State Department, international bodies and interest groups. This will include the strategy, analysis and organizational work involved in senior management bilateral meetings with foreign regulators.
  • Deliver oral presentations to foreign regulators to build external relations and keep international stakeholders informed about FINRA and its regulatory programs, and to internal audiences to inform FINRA senior management and staff about international regulatory developments that may have implications for FINRA members or programs.
  • Lead and provide support for other special projects.

Education/Experience Requirements:

  • Bachelor’s degree required with a strong preference for JD or graduate degree.
  • Five years in financial services regulation or the financial services industry or related experience.
  • Strong knowledge of international business, international finance, international regulatory cooperation or foreign securities laws.
  • Strong  knowledge of financial services and broker-dealer regulation.
  • Demonstrated organizational, external relations and analytical skills and experience.
  • Advanced written skills, verbal communication, and presentation skills.
  • Strong research skills.
  • Intellectual flexibility to work on widely disparate topics concurrently.
  • Ability to engage and work effectively with senior management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments in order to effectively respond to internal and external requests for international assistance and for the identification of key issues and trends when collaborating on multilateral initiatives.
  • Self-starter with ability to administer a wide variety of assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
  • Advanced interpersonal skills to interact effectively with foreign regulators and senior management, across departments, and with staff in multiple locations throughout FINRA, and at various levels.
  • Proficiency in Microsoft Excel, Microsoft Word and Power Point.

Working Conditions:

  • Work is normally performed in an office environment.
  • Occasional travel may be required.
  • Extended hours may be required.

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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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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

FINRA’s 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 Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by 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 FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s 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 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.

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.

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Job posted: 2020-07-14