Associate Principal Analyst, Membership Application Program

FINRA; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Health, dental & vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Adoption assistance

Backup family care

Surrogacy benefits

Employee assistance

Job summary

FINRA in Rockville, MD is seeking an Associate Principal Analyst to identify risks, craft regulatory responses, and guide teams to implement complex, high-risk applications.

You will lead analytical projects, mentor colleagues, develop training content, and present findings in internal meetings while collaborating across locations to uphold investor protection and market integrity.

Qualifications

• Bachelor’s degree or equivalent in a related field with knowledge of business conduct risk and industry practices.
• Demonstrate proficient knowledge of risk analysis and proactive risk identification.
• Track record in developing regulatory responses and/or processes for managing risks.
• Excellent oral and written communication and presentation skills.
• Strong time management and prioritization abilities.

Responsibilities

• Lead or participate in complex, high risk applications and provide guidance on regulations.
• Identify trends in industry practices, products and procedures.
• Ensure regulatory programs align with department goals and FINRA’s mission.
• Demonstrate strong analytical, interviewing, research and quantitative skills.
• Mentor staff and lead trainings; present material at internal meetings.
• Collaborate across locations to uphold investor protection and market integrity.

Skills

Risk analysis

Regulatory strategy development

Team leadership

Analytical skills

Communication skills

Education

Bachelor’s degree or equivalent combination of education and experience

FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification

Job description

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

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*

• 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.

Washington state applicants

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 Employer

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 [e-mail]. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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