Membership Application Program Analyst - Member Supervision

This is an exciting opportunity to join our Membership Application Program (MAP). MAP is a vital program within Member Supervision, supporting FINRA’s overall regulatory mission of investor protection and market integrity. MAP serves as the “gatekeeper” to the broker dealer industry. Any person or entity that would like to become a broker dealer, or any existing member that would like to materially expand, needs to apply to the MAP group. The MAP team works within rule-mandated deadlines to review and analyze each application to ensure that the applicant meets the Standards for Admission before approval is granted.

We have various levels of MAP Examination positions open. See below and apply to be considered.

Examiner – (Grade 44)

Essential Job Functions:

• Review membership applications and other MAP matters as assigned. The Examiner possesses a competent level of knowledge of relevant rules, regulations, guidelines and industry practices.

• Proactively identify notable trends in industry practices, products and procedures.

• Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.

• Demonstrate proficient issue spotting, critical thinking, research and quantitative skills.

• Possess a competent level of knowledge of securities products, activities of member firms and the industry.

• Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner.

• Communicates with applicants/consultants, member firms and district offices in a professional manner and with direct supervision and guidance.

Education/Experience Requirements:

• Bachelor’s degree or an equivalent combination of education and experience required.

• Knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.

• Demonstrate working knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.

• Excellent oral and written communication skills.

• Possess excellent time management skills.

• Minimum of one year of securities, compliance or financial regulatory experience.

• Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Work Conditions:

Work is performed in a hybrid environment. Extended hours are frequently required. Work expectations include timely and high quality productivity.

For work that is performed in CA, Washington, DC, CO, HI, 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

Washington, DC: Minimum of $66,100, Maximum of $117,100

Colorado/Hawaii: 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

Associate Principal Examiner, (Grade 46)

Essential Job Functions:

• Lead or participate in, and provide guidance and advice with regard to complex, novel, unique or high risk applications form membership and other membership matter types. The Associate Principal Examiner possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.

• Proactively identify notable trends in industry practices, products and procedures.

• Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.

• Demonstrate proficient issue spotting, strong critical thinking, interviewing, research and quantitative skills.

• Possess a proficient level of knowledge of securities products, activities of member firms and the industry.

• Assist other examiners with the analysis of applications that may be complex, novel, unique or high risk.

• Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner

• Actively lead and participate in meetings with member firms, consultants, attorney’s and district office staff with with minimal supervision.

• Lead classroom instruction on technical matters for the examination staff

• Proactively identify ideas for in-house training.

• Participate in developing course content and advising