Job details

Analyst, Member Supervision

Working under supervision and guidance, the Analyst will be responsible for data entry as it relates to the various systems and databases that the department is responsible for. In addition, the Analyst may have a role in developing policies and procedures to be used by Member Supervision and participates in projects or other initiatives that support Member Supervision Activities. The Analyst position is a junior level professional position in which the incumbent is expected to possess a basic working knowledge of industry rules, regulations and guidelines in order to carry out assigned job responsibilities.

Essential Job Functions:

Exhibits competency in performing assigned regulatory work and demonstrates a basic working knowledge of relevant rules, regulations, guidelines and industry practices.
Under the direction of a manager/supervisor, may work with other Member Supervision Departments in developing, writing and/or editing policies and procedures for examinations, risk monitoring and other Member Supervision activities. Ensures that any necessary updates to policies and procedures are made timely and in accordance with departmental standards.
Makes timely updates to associated systems and databases.
Provides feedback to his/her manager to ensure examination and surveillance systems and policy manuals contain necessary information.
Assists in the drafting of documents communicating changes to policies and procedures.
Coordinates and communicates effectively with other FINRA personnel and on occasion, other external constituents.
Provides timely, accurate responses to inquiries and requests for information.
Participates in ad hoc initiatives and projects concurrently.

Education/Experience Requirements:

Bachelor’s degree in Finance, Accounting, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
A minimum of one (1) to two (2) years of directly related securities experience preferred; Basic working knowledge of securities industry rules, regulations and guidelines.
Excellent organizational skills.
Strong critical thinking, research and analytical skills.
Solid interpersonal, oral and written communication skills.
Technical capabilities are essential to the position.
Can effectively learn and manage various systems and databases.

Working Conditions:

Work is normally performed in an office environment at FINRA with remote working capabilities.
Extended hours are frequently required.
Work environment includes high productivity expectations and tight deadlines.

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 $73,000, Maximum of $141,900

Colorado: Minimum of $66,200, Maximum of $118,200
New York, NY: Minimum of $79,400, Maximum of $141,900
Washington St: Minimum of $66,200, Maximum of $136,00

#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.

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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.