Senior Market Operations Analyst, Transparency Services

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.

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.

For work that is performed in CA, 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. 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 of $81,300, Maximum Salary $151,300

CO/FL/TX: Minimum Salary $70,600, Maximum Salary $126,000

IL*/PA: Minimum Salary $77,900, Maximum Salary $138,800

MA/MD/VA/Washington, DC: Minimum Salary $81,300, Maximum Salary $145,000

NY*/NJ: Minimum Salary $81,300, Maximum Salary $151,300

 

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

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 FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

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

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 strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.

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.

©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.