Principal Analyst, Member Supervision PRO Program - All FINRA Locations

This Program Risk Office Analyst role is for PRO’s Risk Monitoring & MAP team.
The candidate will be tasked with executing and communicating the PRO analysis of the business function(s) to ensure an effective and consistent national program.

Essential Job Functions:

• Conducts PRO reviews of all levels of complexity with minimal supervision
• Contribute to advice and counsel provided to the programs on key initiatives, enhancements, and remediation
• Develops creative methodologies for assessing quality and consistency
• Effectively manages and analyzes large sets of data/information and develops conclusions
• Provide timely, judgement-based analysis of assigned reviews
• Drafts written reports and participates in the development of recommendations for improvement
• Participates in presenting PRO Review results to management and staff
• Collaborate with PRO team members across business lines to accomplish judgement-based reviews and analysis
• Review and analyze programmatic areas, with moderate supervision, independently demonstrating responsibility and expertise primarily through analysis and presentation of operational-based quality standards
• Maintain an intermediate level understanding of the program’s subject matter, tools, and operations
• Proactively identify and escalate notable trends
• Researches and gathers intelligence using internal FINRA systems
• Manages multiple projects and prioritizes key deliverables

Education/Experience Requirements:

• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration or related fields preferred. Advanced degree/certification a plus.
• Significant securities, compliance or financial regulatory experience

Knowledge Requirements:

• Advanced knowledge of FINRA's risk fundamentals 
• Advanced knowledge of securities rules and regulations
• Advanced knowledge of firm business models, business lines, customer bases, products and services
• Advanced knowledge of all major regulatory areas and the associated rule requirements

Skill Requirements:

• Ability to effectively articulate matters with high degree of complexity through verbal and written communications
• Advanced critical thinking, research and analytical skills
• Proficient in utilizing available internal resources
• Ability to work independently with minimal supervision
• Ability to recognize and understand the relationship and impact between different regulatory areas

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 $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

WA: Minimum Salary $92,500, Maximum Salary $191,800

*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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