In this role, you9ll take ownership of quality control initiatives, uncover trends, and help shape the processes that keep critical operations running accurately and efficiently - all with a high degree of independence and impact.
What You9ll DoQuality Control & Compliance- Conduct statistical sampling and in-depth analysis of core Information Operations activities to ensure compliance with documented policies and procedures
- Perform QC reviews of key systems and records, including CRD, EWS, and Active Directory (Empower ID), to identify errors and ensure accuracy
- Review all documentation entered into the FINRA Entitlement Platform related to account creation, deletion, and modification across a broad suite of applications (e.g., Web CRD, IARD, Web EFT, PROCTOR, eFOCUS, OATS, and others) to ensure no unauthorized access is granted
- Perform QC of data processed through Department of Justice applications and SEC requirements, including Electronic Fingerprint Processing and Name Check results to ensure demographic accuracy and correct FBI disposition uploads
Data Analysis & Reporting- Compile and maintain QC statistics; perform root cause and trend analyses to identify risk areas, training needs, and process inconsistencies
- Utilize systems such as the Entitlement Productivity Access Log, Registration Operations Fingerprint Information System, Electronic Fingerprint Processing QC Database, Web EFT Tracking, and CRT and Remedy On Demand Systems to document errors, track data, and develop reports
- Meet regularly with the QA Manager and other leaders to present findings and assist in developing action plans that improve accuracy, reduce risk, and eliminate recurring errors
Process Improvement- Periodically review and revise QA work processes to ensure alignment with current policies, guidelines, and objectives
- Assist in expanding QC coverage to additional areas within Information Operations, ensuring appropriate risk mitigation strategies are in place
- Develop new processes as needed to address emerging risks or operational gaps
Collaboration & Communication- Communicate findings and issue resolutions clearly, tactfully, and professionally across teams and units
- Provide training and guidance to fellow QA staff members as needed
- Collaborate effectively both in-person and virtually in support of FINRA9s mission of investor protection and market integrity
- Demonstrate FINRA9s core values in all interactions and responsibilities
Additional Responsibilities- Maintain and develop skills through training programs, classes, and staff meetings (which may occasionally fall outside standard business hours)
- Support special projects and other duties as assigned to promote the effective operation of the QA Unit and broader Information Operations
Required Qualifications:- Bachelor9s degree or equivalent work-related experience
- Minimum of 4 years of relevant experience in a role utilizing research/analytical skills, quality control, and/or root cause and trend analysis
- Strong organizational skills, keen attention to detail, and the ability to manage multiple priorities simultaneously
- Proficiency in a Windows PC environment, including Microsoft Word and Excel
- Ability to extract and work with data from databases and reporting systems
- Strong verbal communication skills and solid foundational writing ability
- Strong interpersonal skills with the ability to work collaboratively across teams
Preferred Qualifications:- Familiarity with FINRA systems and platforms (e.g., Web CRD, IARD, OATS, eFOCUS, Web EFT, Empower ID)
- Experience with entitlement management, access control, or identity governance processes
- Prior experience working in a regulatory, compliance, or financial services environment
- Experience conducting QC in support of government or law enforcement data requirements (e.g., DOJ, FBI, SEC)
- Advanced proficiency in Excel (pivot tables, data visualization, formulas) or other data analysis tools
- Experience developing or delivering training to peers or staff
Work Conditions:- Hybrid work environment, with defined in-person presence requirements.
- Evening/weekend may be required on occasion.
For work that is performed in 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. 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 candidate9s skill set, level of experience, education, and market considerations.
CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200
IL/PA: Minimum Salary $79,800, Maximum Salary $142,300
MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600
NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100
#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 4Apply Now4 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 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
