Principal Analyst, Dispute Resolution Services Training

Financial Industry Regulatory Authority, Inc.; Los Angeles (CA); Hybrid; USD 92,000 - 138,000; Full time

Benefits offered by this job

Discretionary bonus

Comprehensive health/dental/vision

401(k) with company match

Tuition reimbursement

Job summary

FINRA is seeking a senior training professional to design and deliver On-the-Job training for DRS staff across multiple offices. You will identify risks and shape content in collaboration with Quality Control and senior management, ensuring consistent delivery of new rules and refresher topics.

The role requires a strong background in training program development, onboarding collaboration, and excellent communication skills in a hybrid work environment.

Qualifications

• Bachelor’s degree plus 6+ years experience or equivalent; Law degree preferred.
• Experience in designing, developing, and delivering training programs.
• Advanced knowledge of FINRA/SEC rules, DR procedures, and related laws.

Responsibilities

• Partner with regional offices and infrastructure to conduct On-the-Job Training for DRS staff.
• Identify and prioritize risk to inform training content design.
• Build program content design and facilitation with QC and senior management.
• Deliver training to all DRS staff levels on new rules and refresher topics.
• Collaborate with People Solutions Onboarding Team for integrated onboarding.

Skills

Training design

Content development

Facilitation

Risk assessment

Onboarding collaboration

Training delivery

Independent preparation

Communication

Education

Bachelor’s degree

Law degree preferred

Tools

DRS Procedures Manual

MATRICS

DR Portal

Job description

Essential Job Functions

Partners with the regional offices and infrastructure departments to conduct On-the-Job Training for new and existing staff members conducting DRS essential functions Works with staff across all firm groups to identify and prioritize risk in order to inform training content design Builds out the program content design and facilitation for introductory and ongoing development needs, in close collaboration with Quality Control leadership teams and department senior management Makes up for skill gaps and provides support in managing real-time assignments/tasks Creates and delivers training to all DRS staff levels on new rules, procedures, and policies and refresher training on topics identified through quality control reviews. Independently prepares and conducts training that addresses critical technical training needs in area of expertise Collaborates with People Solutions Onboarding Team to seamlessly integrate FINRA wide new hire training with DRS specific training and onboarding. 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 and a minimum of six (6) years of experience; or an equivalent combination of education and experience. Law Degree preferred. Experience in designing, developing, and delivering training and development programs. Experience in the alternative dispute resolution field and management of FINRA arbitration cases preferred. Advanced working knowledge of relevant FINRA and SEC rules, the DRS Procedures Manual, MATRICS, and the DR Portal, preferred. Advanced knowledge of expungement, expedited suspension procedures, the Federal Arbitration Act, DRS jurisdictional rules, exchanges that use DRS services, injunctive relief, statutory discrimination rules and laws, and discovery rules, policies, and procedures, preferred. Should possess problem solving skills and initiative required to assess situations and resolve problems. Expert critical thinking, research, and analytical skills. Consistently works independently with limited supervision. Consistently manages time effectively, completes assignments within budgeted timeframes and makes timely decisions. Advanced ability to identify and prioritize risk. Consistently and effectively articulates, through both excellent verbal and written communications skills, complex material into easily understandable language to be understood by recipient. Expert relationship building skills. Excellent oral and written communication skills required.

Work Conditions

Hybrid work environment, with defined in-person presence requirements.

Salary & Location

• Los Angeles, CA: Minimum Salary $92,300, Maximum Salary $138,400
• San Francisco, CA: Minimum Salary $96,300, Maximum Salary $144,400
• CO/FL/TX: Minimum Salary $97,700, Maximum Salary $176,100
• IL/PA: Minimum Salary $107,500, Maximum Salary $194,100
• MA/MD/VA/Washington, DC: Minimum Salary $112,300 Maximum Salary $202,500
• NY/NJ: Minimum Salary $112,300, Maximum Salary $211,400

Benefits

• 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

• 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).
• Two volunteer service days (based on full-time schedule).
• 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.

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: click here for required notice(s).

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.