Job Description:

The Associate Principal Analyst, in the Member Supervision Strategic Intelligence & Analytics team is responsible for analyzing member firm data collected during examinations and investigations; and creating analytics that identify potential risks and weaknesses in the associated controls and compliance with member firms. The role works cross-functionally across FINRA’s Risk Monitoring, Firm Examination, National Cause and Financial Crimes, Enforcement, and Technology departments. The role utilizes strong knowledge of member firms’ responsibilities and legal requirements related to accuracy of regulatory capital, sales, credit, fraud, liquidity, money laundering, operational and technology risks, sales, and segregation of client assets, in order to enable and empower Member Supervision to identify, respond to, and predict emerging risks and broader market themes, and make more informed and timely regulatory decisions.

Essential Job Functions:

• Conducts and memorializes analyses for matters of routine to moderate risk and complexity, with moderate supervision and guidance. Participates in analyses of matters with high risk and complexity.


• Participates in strategic exploration and adoption of innovative solutions, to amplify Member Supervision’s ability to protect investors and uphold market integrity that may include but are not limited to coordinating with other specialists, risk analysts and data scientists for the development of analytics and tools to support the creation of intelligence.


• Under general direction of leadership, conducts analyses related to inquiries received from Risk Monitoring, Firm Examinations, Cause Examinations, Market Regulation, and Enforcement staff with moderate supervision and guidance.


• Under general direction of leadership, conducts regulatory matters that may include but are not limited to: (1) identification and scoping of risk analysis conducted in collaboration with Member Supervision staff; (2) analysis conducted in relation to internal/external tips or investigations; and (3) analysis conducted related to referrals.

Education/Experience Requirements:

• Bachelor’s degree in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics, or related fields; or an equivalent combination of education and relevant experience required.  Advanced degree/certification a plus.


• Moderate securities, compliance, or financial regulatory experience.

  

Knowledge Requirements:

• Intermediate knowledge of FINRA's risk fundamentals.


• Intermediate knowledge of securities rules and regulations.


• Intermediate knowledge of securities industry business models, business lines, customer bases, products, and services.

  

Skill Requirements:

• Ability to analyze complex data and communicate findings and recommendations in a clear and concise manner.


• Ability to effectively articulate analyses through verbal and written communications.


• Proven ability to demonstrate, support, and promote collaboration within team, group, and across FINRA.


• Intermediate analytical and investigatory skills to develop innovative solutions that further investigations.


• Proactively self-educate upon encountering novel and/or complex areas utilizing internal and external resources.


• Proficiency in extracting financial and securities-related data from sources including databases (using tools such as SQL) and big data environments, is preferred.


• Experience combining data from multiple sources and in assessing data quality, consistency, and completeness, is preferred.


• Ability to manage time effectively and complete assignments within budgeted timeframes.


• Ability to work independently with moderate supervision.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed 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 Salary $91,500, Maximum Salary $170,900

CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300

IL*: Minimum Salary $87,500, Maximum Salary $156,600

Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900

MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700

WA: Minimum Salary $79,500, Maximum Salary $163,700

*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.

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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 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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