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About the Role

Independently conducts complex analyses of FINRA firms’ communications with the public, providing assistance and support to management in quality control, training, and supervision. This role is crucial for investor protection and market integrity.

Responsibilities

• Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications.
• Participates in and coordinates joint evaluations of communications with other FINRA departments and other regulatory agencies.
• Documents analyses and writes correspondence.
• Participates with other FINRA staff in on-site reviews and examinations.
• Assists in all aspects of the disciplinary process.
• Assists immediate manager in final sign-off of analyses to ensure accuracy of rule applications, thoroughness of analytic process, and propriety of suggested dispositions.
• Provides staff with training, coaching, advice and feedback on performance.
• Monitors work flow and task completion.
• Informs immediate manager of new issues and practices which may lead to policy changes.
• Provides timely input on team member performance appraisals.
• Communicates regulatory and administrative information to team members.
• Answers questions from team members and external customers.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Assists immediate manager with special projects such as development of new rules or interpretations, planning, procedural or administrative modifications and corporate initiatives.
• Represents the Department, including speaking engagements, at regulatory policy public conferences and meetings.
• Performs other job related special projects as necessary.

Requirements

• Demonstrated ability to work independently and in groups.
• Work experience showing successful use of analytic and organizational skills.
• Competency with desktop computers and Microsoft Word.
• Employees must disclose to FINRA all brokerage accounts that they maintain.
• Employees must authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
• Employees must comply with FINRA's Code of Conduct investment restrictions.
• 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.
• Employees must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
• Employees must comply with the company’s policy on nepotism.

Skills

• Excellent demonstrated oral and written communication skills.
• Knowledge of various types of securities and broker-dealer services and methods of marketing.
• In-depth knowledge of FINRA, SEC, MSRB and SIPC rules and interpretations governing advertising.

Location

• Los Angeles, CA
• San Francisco, CA
• CO
• FL
• TX
• IL
• PA
• MA
• MD
• VA
• Washington, DC
• NY
• NJ

Work Type

• Hybrid work environment
• Occasional travel may be required
• Some extended hours may be required

Experience Level

• 5 years of related industry experience
• Successful completion of at least 1 year as an Associate Principal Analyst

Education Level

• Bachelor's degree

Salary/Compensations

• Los Angeles, CA: Minimum Salary $112,300, Maximum Salary $142,430
• San Francisco, CA: Minimum Salary $117,200, Maximum Salary $148,622
• CO/FL/TX: Minimum Salary $97,700, Maximum Salary $176,100
• IL/PA: Minimum Salary $107,500, Maximum Salary $194,100
• MA/MD/VA/Washington, DC: Minimum Salary $112,300 Maximum Salary $202,500
• NY/NJ: Minimum Salary $112,300, Maximum Salary $211,400

Benefits

• Discretionary bonus
• Overtime pay
• Comprehensive health, dental and vision insurance
• Basic life insurance
• Accidental death and dismemberment insurance
• Supplemental life insurance
• Spouse/domestic partner and dependent life insurance
• Spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short-term disability insurance
• Long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Disability insurance
• Legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• Eligibility for participation in an additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• Wellness programs
• 15 days of paid time off
• 5 personal days
• 9 sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave (available after 90 days of employment)
• Childbirth and parental leave (available after 90 days of employment)
• Nine paid holidays

About the Company

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight.
• FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
• FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
• FINRA uses technology powerful enough to look across markets and detect potential abuses.
• FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Equal Opportunity

• All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
• 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.
• 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.