Associate Principal Analyst, Membership Program

Position: Associate Principal Analyst, Membership Application Program
The Associate Principal Analyst has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals of the strategies.

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 identify ideas for in-house training.

Participate in developing course content and advising the Member Regulation Training unit on technical accuracy of classroom material.

Serve as a mentor and coach to other staff.

Moderate and/or present subject matter material at internal meeting and conferences including, new Analysts trainings or other FINRA training programs.

Participate in Peer and/or Quality Reviews for the district, regional or national program.

Demonstration of FINRA’s values.

Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

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.

Demonstrate a track record in developing appropriate regulatory responses and/or processes for managing risks.

Excellent oral and written communication and presentation skills.

Possess excellent time management skills.

Minimum of five years of securities, compliance or financial regulatory experience.

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

FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Work Conditions Hybrid work environment, with defined in-person presence requirements.

Extended hours may be required.

Work expectations include timely and high-quality productivity.

For work that is performed in Los Angeles and San Francisco, CA, 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.

Los Angeles, CA: $96,600 - $132,000

San Francisco, CA: $100,800 - $137,000

Boston, MA: $96,600 - $172,800

Chicago, IL: $92,400 - $165,300

Denver, CO: $83,900 - $150,300

Jericho, NY: $96,600 - $172,800

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