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 Analyst positions open. See below and apply to be considered.

Senior Analyst, MAP (Grade 45)

Essential Job Functions:

• Lead or participate in, and provide guidance and advice with regard to files received by MAP, including complex/novel/unique or high risk applications. The Senior Analyst possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.

• Proactively identify and strategize recommendation regarding 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 advanced critical thinking, issue spotting, 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 Analysts with the analysis applications including those that are complex or novel.

• Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner as mandated by the department and/or rules.

• Actively lead and participate in meetings with firms with moderate supervision and guidance.

• Proactively identify ideas for in-house training.

Education/Experience Requirements:

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

• Proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.

• Demonstrate proficient 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 three years 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:

• Extended hours may be required. Work expectations include timely and high quality productivity.

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 Salary $73,000, Maximum Salary $141,900

Colorado: Minimum Salary $66,200, Maximum Salary $118,200

New York, NY: Minimum Salary $79,400, Maximum Salary $141,900

Washington: Minimum Salary $66,200, Maximum Salary $136,000

Associate Principal Analyst, MAP (Grade 46)

Essential Job Functions:

• Lead or participate in, and provide guidance and advice with regard to files received by MAP, including complex/novel/unique or high risk applications. The Associate Principal  Analyst 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 Analysts with the analysis of applications that may be complex/novel/unique/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 with minimal supervision.

• Proactively iden