Senior Market Operations Analyst, Transparency Services

Market Operations Analyst II

The Market Operations Analyst II performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the ADF market and monitoring member firms trade reporting and quoting activities. This is basic-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision.

Essential Job Functions:

• Reviews and analyzes intra-day quote trade comparison, trading during a halt and locked/crossed markets alerts in FINRA National Market, FINRA Small Cap and exchange listed securities.
• Monitors intra-day trading and quoting activity in ITS issues for member firm compliance with established ITS rules and regulations.
• Recommends subsequent course of action to be taken.
• Maintains the relevant databases that support the operation of the marketplace.
• Responds to inquiries from member firms, SRO's, other FINRA departments, and vendors.
• Provides excellent internal/external customer service.
• Contributes to the development and enhancement of section policies and procedures. Provides advice, guidance, and instruction to lower level Analysts.
• Confers with senior staff and subject matter experts for guidance on highly complex issues.
• Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations, and guidelines, which apply to the type of analysis being performed.
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's degree or the equivalent.
• A minimum of three (3) years of related industry experience in market regulation, market operations or a similar function.
• Substantial knowledge of relevant FINRA/SEC rules and regulations.
• Competence using a desktop computer with the full suite of office software applications.
• Proven ability to work under pressure.
• Attention to detail is essential.

Work Conditions:

• Work is normally performed on-line in an office environment.
• Occasional travel may be required.
• Extended hours may be required.
• Hybrid work environment, with defined in-person presence requirements.