Associate Analyst, NCP - IRG - Any Finra Location

The Associate Analyst, IRG, reviews incoming information, including routine filings and regulatory intelligence, to efficiently process lower-complexity items at a high-volume, to identify items requiring additional assessment and investigation within Initial Review Group.

Essential Job Functions:

• On a daily basis, conducts data analysis of filings and conducts a review of regulatory intelligence through internal and external systems with moderate supervision, with an emphasis on identifying risk for further review by the IRG Investigations team.
• Assists IRG Investigators with low-complexity investigative tasks as needed.
• Reviews and analyzes IRG statistics and data to identify trends.
• Assists with formulating procedure manuals for IRG.
• Assists with the maintenance and updating of internal intelligence resources.

Education/Experience Requirements:

• Bachelor’s degree, or equivalent relevant experience, preferred.
• Experience leveraging technology and efficiently navigating various systems, including intake and tracking systems, and online tools, preferred.
• Strong verbal and written communication skills required.
• Strong organizational skills with exceptional attention to detail required.
• Competence using computer programs with the full suite of Office software applications.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Salary $59,500, Maximum Salary $109,300

CO/HI/MN/VT*: Minimum Salary $51,900, Maximum Salary $91,100

IL*: Minimum Salary $57,000, Maximum Salary $100,300

Jersey City/NY, NY: Minimum Salary $62,100, Maximum Salary $109,300

MD/Washington, DC: Minimum Salary $59,500, Maximum Salary $104,600
WA: Minimum Salary $51,900, Maximum Salary $104,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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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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 (ba