Associate Principal Analyst, Financial Disclosure & Trading

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. Using a significant knowledge of the Code of Conduct, investment accounts and securities products, the Analyst provides important contributions to this critical function of FINRA’s corporate governance. Using the Code of Conduct Compliance System and related resources, the Analyst performs activities intended to ensure the accuracy and timeliness of employee financial disclosures and reports regularly on the status of such to senior management. The Analyst, with the guidance from the Associate Director, for the early detection and resolution of trading violations identified through surveillance sweeps and those self-reported by employees. In this role, the Analyst is gaining proficiency in the Code of Conduct and conducts research to aid in the development of written content on financial disclosures and trading restriction compliance for use within Code of Conduct guidance materials and training programs. The Analyst participates with the Associate Director in consultations with employees at all levels concerning policy requirements and the resolution of violations, when those occur. Other responsibilities include evaluation of financial hardship waiver requests of increasing complexity and supporting the analysis and updating of FINRA Prohibited Company List. At all times the Analyst maintains strict confidentiality of sensitive financial and personal information. The incumbent is defining their key skills across broader functional areas, working under limited supervision by the Associate Director.

Essential Job Functions:

• Responds to oral and written inquiries of increasing complexity from employees and managers across FINRA concerning financial disclosure and trading restriction requirements.

• Reviews the quality of employee account disclosures and identifies apparent compliance issues. Addresses incomplete or untimely disclosures.

• Ensures timely maintenance of the electronic account feeds, investigating and resolving apparent issues. Escalates unresolved matters to the Associate Director.

• Participates with the Associate Director in providing consultations to candidates for hire concerning the Code’s financial disclosure requirements and trading restriction policies, the availability of hardship waivers and requirements to be satisfied prior to starting work at FINRA. Provides written synopsis within case management system.

• With the Associate Director, the Analyst evaluates trading violations identified through surveillance sweeps and those self-reported by employees, calculates required disgorgements and recommends resolutions within the criteria established by the Office.

• Responsible for prohibited securities waiver requests and related communications with the employee and their management team including, executive vice president. Conducts financial hardship analysis of increasing complexity, performs monitoring of approved waivers to ensure liquidation requirements are satisfied.

• Supports the Ethics Director in performance of research and analysis necessary to ensure timely publishing of the FINRA’s Prohibited Company List. Working with various FINRA departments, obtains and delivers the source data required for the consultant’s analyses. Participates in reviewing the quality of all work products returned by the consultant and conducts further research, as directed.

• Prepares presentation materials and accompanies Associate Director during Code of Conduct roadshow meetings intended to aid FINRA staff and managers avoid compliance missteps.

• Drafts written content covering the financial disclosures and trading restriction policies for use within the Code’s Procedures and Guidelines, FINRAnet guidance, training and awareness materials.

• Supports the Associate Director in cross-training junior analysts and monitoring the quality and timeliness of their work and communications.

• Drafts updates to written procedures and presents those to the Associate Director.

• Demonstration of FINRA’s values.

• Collaboration, 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.
• Responsibly handles large amounts of sensitive information in a manner that maintains confidentiality at all times.

Education/Experience Requirements:

• Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial services industry demonstrating research/analytical skills.
• Minimum of five (5) years of experience in a securities-related compliance program.
• Extensive knowledge of basic securities and options, securities and options transactions, and securities account types is required; familiarity with broker-dealer back-office operations a plus.
• Excellent verbal and written communication skills are mandatory; position entails extensive telephonic and written communication with employees and managers throughout the organization; tact and courtesy are essential.
• Must have demonstrated experience effectively managing multiple deadlines and priorities; excellent organizational and project management skills are required.
• Attention to detail, good data analytical skills, accuracy and critical thinking are essential.
• Expertise in the use of Microsoft Excel, and Microsoft Word; experience working with Web-Ex, PowerPoint, Access and Adobe Acrobat strongly preferred.
• Ability to function effectively in a team environment is required.
• Ethics and Compliance certification from a recognized industry association preferred, will be sponsored if needed.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Must possess ability to work under pressure, meet deadlines, and juggle multiple tasks efficiently and accurately.
• Must use a desktop computer on a daily basis.
• Occasional travel may be required.
• Extended hours may be required.
• Membership in an ethics and compliance industry association will be provided.

For work that is performed in 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.

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

LI-DNI

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.

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

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

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.

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