Principal Analyst, Financial Disclosure & Trading

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Job summary

FINRA is seeking a Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office. The role focuses on accuracy of disclosures, detection of trading violations, and preparing guidance for Code of Conduct materials and training.

This senior individual contributor works independently, maintains confidentiality, and represents ECO at internal engagements. Hybrid work with travel may be required; interaction with employees at all levels is essential.

Qualifications

• Bachelor’s degree in Finance, Economics, Business, or related field and seven years of securities‑related compliance experience.
• Expert‑level knowledge of securities and options products, transactions, and account types.
• Excellent verbal and written communication skills are required.
• Experience with case management or compliance tracking systems is required.
• Proficiency in Microsoft Excel and Word is required.
• Experience with Power BI and Co‑Pilot is preferred.
• Ability to work independently and collaboratively across departments and with technology partners is required.
• Ethics and Compliance certification from a recognized industry association is preferred.
• Experience working within case management or compliance tracking systems is required.

Responsibilities

• Responds to inquiries from employees and managers regarding disclosures and trading restrictions.
• Reviews employee disclosures for quality and compliance issues.
• Escalates incomplete disclosures and recommends systemic improvements.
• Consults on Code policy requirements and hardship waiver eligibility.
• Documents consultations in the case management system.
• Evaluates trading violations and recommends resolutions within established criteria.
• Maintains the Prohibited Company List (PCL) and ensures data accuracy.
• Collaborates with FINRA departments and technology partners to validate data.
• Develops written content for Code procedures, guidance, and training materials.
• Conducts Code of Conduct roadshows to help staff avoid missteps.
• Demonstrates FINRA’s values.
• Travels and participates in hybrid work as needed.

Skills

Analytical thinking

Communication skills

Independent work

Attention to detail

Team collaboration

Education

Bachelor's degree in Finance, Economics, Business, or related field

7+ years of securities‑related compliance experience

Tools

Microsoft Excel

Power BI

Microsoft Word

Adobe Acrobat

Co-Pilot

Job description

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for performing activities intended to ensure the accuracy and timeliness of employee financial disclosures and the detection and resolution of trading violations. The Principal Analyst represents ECO at internal speaking engagements and develops written content on financial disclosures and trading restriction compliance for use within Code of Conduct guidance materials and training programs. This position is an experienced individual contributor who works independently with minimal supervision while maintaining strict confidentiality of sensitive financial and personal information.

Essential Job Functions

• Responds to oral and written inquiries from employees and managers across FINRA regarding financial disclosures and trading restriction requirements, including moderately complex scenarios.
• Reviews employee account disclosures for quality and compliance issues.
• Addresses incomplete or untimely disclosures and escalates systemic issues with recommendations to management.
• Consults with employees, managers, and candidates for hire on Code policy requirements, financial disclosure obligations, trading restriction policies, and hardship waiver eligibility.
• Documents consultations within the case management system and escalates complex or sensitive matters as appropriate.
• Evaluates trading violations identified through surveillance sweeps and self‑reports, calculates required disgorgements, and recommends resolutions within established criteria.
• Escalates matters requiring deviation from those criteria.
• Manages prohibited securities waiver requests, conducts financial hardship analyses, and monitors approved waivers to ensure liquidation requirements are met.
• Communicates with employees and their management throughout the process.
• Maintains and administers the Prohibited Company List (PCL), ensuring accurate and timely updates.
• Collaborates with FINRA departments to obtain and validate source data, coordinates with technology partners, and conducts quality review of deliverables.
• Identifies and communicates system discrepancies or enhancement needs to management and technology partners.
• Develops written content on financial disclosure and trading restriction policies for the Code's Procedures and Guidelines, FINRAnet guidance, and training materials.
• Conducts Code of Conduct roadshow presentations to help FINRA staff and managers avoid compliance missteps.
• Demonstrates FINRA’s values.
• Collaborates, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities

• Actively participates in development and testing of technology enhancements.

Education and Experience Requirements

• Bachelor’s degree in Finance, Economics, Business, or related field and a minimum of seven (7) years of experience in a securities‑related compliance program.
• Expert‑level knowledge of securities and options products, transactions, and account types is required.
• Familiarity with broker‑dealer back‑office operations is a plus.
• Excellent verbal and written communication skills are required.
• The position involves extensive interaction with employees and managers at all levels of the organization; tact, courtesy, and professionalism are essential.
• Demonstrated ability to independently manage multiple deadlines and competing priorities.
• Strong organizational skills and attention to detail are required.
• Strong analytical and critical thinking skills are required, including the ability to evaluate complex scenarios, identify compliance issues, and recommend solutions within established criteria.
• Proficiency in Microsoft Excel and Word is required.
• Experience with Microsoft Office Suite, Adobe Acrobat, Power BI and Co‑Pilot is preferred.
• Experience developing written policies, procedures, guidance, or training materials is preferred.
• Ability to work independently and collaboratively across departments and with technology partners is required.
• Ethics and Compliance certification from a recognized industry association is preferred.
• Experience working within case management or compliance tracking systems is required.
• Familiarity with compliance‑related technology platforms and the ability to identify and communicate system discrepancies or enhancement needs is a plus.

Working Conditions

• Hybrid work environment, with defined in‑person presence requirements.
• Occasional travel may be required.
• Extended hours may be required.

Salary and Location

• 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

Benefits and Time Off

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.

Important Information about Code of Conduct

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 authorise 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.

Equal Opportunity Employer Statement

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.

Company Culture and Brand

Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! Visit FINRA's Technology Page About FINRA FINRA is an independent, non‑governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public‑private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast‑paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers.