The Associate Principal Analyst has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals of the strategies.
Essential Job Functions:
- Lead or participate in, and provide guidance and advice with regard to files received by MAP, including complex/novel/unique or high risk applications. The Associate Principal Analyst possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.
- Proactively identify notable trends in industry practices, products and procedures.
- Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
- Demonstrate proficient issue spotting, strong critical thinking, interviewing, research and quantitative skills.
- Possess a proficient level of knowledge of securities products, activities of member firms and the industry.
- Assist other Analysts with the analysis of applications that may be complex/novel/unique/high risk.
- Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner.
- Actively lead and participate in meetings with member firms with minimal supervision.
- Proactively identify ideas for in-house training.
- Participate in developing course content and advising the Member Regulation Training unit on technical accuracy of classroom material.
- Serve as a mentor and coach to other staff.
- Moderate and/or present subject matter material at internal meeting and conferences including, new Analysts trainings or other FINRA training programs.
- Participate in Peer and/or Quality Reviews for the district, regional or national program.
- 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 an equivalent combination of education and experience required. Proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.
- Demonstrate proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.
- Demonstrate a track record in developing appropriate regulatory responses and/or processes for managing risks.
- Excellent oral and written communication and presentation skills.
- Possess excellent time management skills.
- Minimum of five years of securities, compliance or financial regulatory experience.
- Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
- FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Work Conditions
- Hybrid work environment, with defined in-person presence requirements.
- Extended hours may be required.
- Work expectations include timely and high-quality productivity.
For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.
Los Angeles, CA: $96,600 - $132,000
San Francisco, CA: $100,800 - $137,000
Boston, MA: $96,600 - $172,800
Chicago, IL: $92,400 - $165,300
Denver, CO: $83,900 - $150,300
Jericho, NY: $96,600 - $172,800
Jersey City, NJ: $100,800 - $180,400
Philadelphia, PA: $92,400 - $165,300
New York, NY: $100,800 - $180,400
Rockville, MD: $96,600 - $172,800
Tysons, VA: $96,600 - $172,800
Washington, DC: $96,600 - $ 172,800
Woodbridge, NJ: $96,600 - $172,800
Connecticut State: $83,900 - $180,400
Washington State: $83,900 - $180,400
#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.
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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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
