The Principal Analyst demonstrates a highly proficient level of competence in identifying risks, developing regulatory strategies to address those risks, and working with internal and external constituents to achieve the goals of the department.
Essential Job Functions:- Lead or participate in, and provide guidance and advice with regard to applications received by MAP, including novel or high-risk applications. This advanced technical knowledge relates to possessing a proficient level of knowledge of relevant rules, regulations, guidelines, and industry practices.
- Identify notable trends in industry practice, products, and procedures.
- Complete assignments in a timely manner as mandated by the department and/or rules.
- Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner, utilizing critical thinking, interviewing research and quantitative skills.
- Lead and participate in meetings on firms with minimal supervision.
- Proactively identify ideas for internal training.
- Present subject matter material for FINRA internal programs.
- Demonstration of FINRA's values.
- Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.
Other Responsibilities:- Support MAP management in conducting reviews of other staff members' work product, as needed. Assist other staff members on MAP matters or special projects as needed.
- Assist in developing course content and advising Regulatory Operations training efforts on technical accuracy of classroom material, as needed.
Education/Experience Requirements:- Bachelor's degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Business Administration or related field preferred.
- Minimum of six (6) years of directly relevant experience.
- Advanced level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required. Crypto assets knowledge highly preferred.
- Strong level of knowledge of securities products, activities of member firms and the industry.
- Highly proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills. Demonstrate a track record in developing appropriate regulatory responses for managing risks.
- Excellent oral and written communication and presentation skills. Possess excellent time management skills.
- 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.
- Work may be at FINRA, member firm premises or at various conferences.
- Overnight travel is required.
- Extended hours may be required.
- Work expectations include timely and high-quality productivity.
For work that is performed in 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.
Boston, MA: $112,300 - $202,500
Chicago, IL: $107,500 - $194,100
Denver, CO: $97,700 - $176,100
Jericho, NY: $112,300 - $202,500
Jersey City, NJ: $117,200 - $211,400
Philadelphia, PA: $107,500 - $194,100
New York, NY: $117,200 - $211,400
Rockville, MD: $112,300 - $202,500
Tysons, VA: $112,300 - $202,500
Washington, DC: $112,300 - $202,500
Woodbridge, NJ: $112,300 - $202,500
Connecticut State: $97,700 - $211,400
Washington State: $97,700 - $211,400
#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
