Job details

Analyst, Member Supervision Office of Strategy and Program Risk

The Analyst conducts reviews, analyses, and special projects in support of the department. This is junior level professional work in which incumbents are developing in their assigned roles, enhancing newly learned skills, and working under direct supervision.

Essential Job Functions:

Identify, research, and analyze data under general guidance; prepare and submit well-organized, detailed, and accurate projects/reports; periodically update the manager with progress of assigned tasks.
Assist in identifying and engaging staff within the department who will provide support as contributors and subject matter experts.
Utilize system resources and software applications for data analysis and project completion; effectively utilize the resources in conducting assignments and special projects.
Create statistical reports and summaries for various teams and ensure data integrity prior to distribution of reports.
Analyze and evaluate data and memorialize analysis in reports and summaries.
Support the collection and analysis of information for various uses including updates for Board reports and departmental content for presentation by its senior leaders.
Assist other staff in conducting more complex projects.
Utilize basic understanding and proficiency of the FINRA regulatory processes, key stakeholders; and FINRA and SEC rules and regulations.
Support department leaders in achievement of departmental goals and FINRA’s mission in an efficient and effective manner.

Other Responsibilities:

Other projects as assigned.

Education/Experience Requirements:

Bachelor's degree in Finance, Accounting, Business, or related field and a minimum of one (1) year of directly related experience in the financial industry, or an equivalent combination of education and relevant work experience.
Demonstrated research and analytical skills.
Knowledge of securities industry rules regulations and guidelines preferred.
Strong written and verbal communication skills, and technical capabilities are essential to the position.

Working Conditions:

Hybrid office environment.
Ability to work under pressure.
Attention to detail is essential.

For work that is performed in CA, CO, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

California: Minimum of $63,600, Maximum of $122,300
Colorado: Minimum of $57,500, Maximum of $101,900
New York, NY: Minimum of $69,000, Maximum of $122,300
Washington St: Minimum of $57,500, Maximum of $117,100

#LI-Hybrid

To be considered for this position, please submit an application.

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.

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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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

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.

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.

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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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.