Associate Principal Analyst International Affairs

Profile

Associate Principal Analyst, International Affairs
Duties: 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 participation on various IOSCO committees as well as the organization, development and delivery of two annual international roundtables. Interact and facilitate engagement with 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 senior management and staff about international regulatory developments that may have implications for members or programs. Lead and provide support for other special projects.

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