Info Ops Quality Assurance Analyst

Quality Assurance Analyst

Are you a detail-oriented professional with a passion for process improvement and data-driven decision-making? Join FINRA's Information Operations team as a Quality Assurance Analyst, where your work directly supports investor protection and market integrity. In this role, you'll take ownership of quality control initiatives, uncover trends, and help shape the processes that keep critical operations running accurately and efficiently — all with a high degree of independence and impact.

• Conduct statistical sampling and in-depth analysis of core Information Operations activities to ensure compliance with documented policies and procedures
• Perform QC reviews of key systems and records, including CRD, EWS, and Active Directory (Empower ), to identify errors and ensure accuracy
• Review all documentation entered into the FINRA Entitlement Platform related to account creation, deletion, and modification across a broad suite of applications (e.g., Web CRD, IARD, Web EFT, PROCTOR, eFOCUS, OATS, and others) to ensure no unauthorized access is granted
• Perform QC of data processed through Department of Justice applications and SEC requirements, including Electronic Fingerprint Processing and Name Check results to ensure demographic accuracy and correct FBI disposition uploads

• Compile and maintain QC statistics; perform root cause and trend analyses to identify risk areas, training needs, and process inconsistencies
• Utilize systems such as the Entitlement Productivity Access Log, Registration Operations Fingerprint Information System, Electronic Fingerprint Processing QC Database, Web EFT Tracking, and CRT and Remedy On Demand Systems to document errors, track data, and develop reports
• Meet regularly with the QA Manager and other leaders to present findings and assist in developing action plans that improve accuracy, reduce risk, and eliminate recurring errors

• Periodically review and revise QA work processes to ensure alignment with current policies, guidelines, and objectives
• Assist in expanding QC coverage to additional areas within Information Operations, ensuring appropriate risk mitigation strategies are in place
• Develop new processes as needed to address emerging risks or operational gaps

• Communicate findings and issue resolutions clearly, tactfully, and professionally across teams and units
• Provide training and guidance to fellow QA staff members as needed
• Collaborate effectively both in-person and virtually in support of FINRA's mission of investor protection and market integrity
• Demonstrate FINRA's core values in all interactions and responsibilities

• Maintain and develop skills through training programs, classes, and staff meetings (which may occasionally fall outside standard business hours)
• Support special projects and other duties as assigned to promote the effective operation of the QA Unit and broader Information Operations

• Bachelor's degree or equivalent work-related experience
• Minimum of 4 years of relevant experience in a role utilizing research/analytical skills, quality control, and/or root cause and trend analysis
• Strong organizational skills, keen attention to detail, and the ability to manage multiple priorities simultaneously
• Proficiency in a Windows PC environment, including Microsoft Word and Excel
• Ability to extract and work with data from databases and reporting systems
• Strong verbal communication skills and solid foundational writing ability
• Strong interpersonal skills with the ability to work collaboratively across teams

• Familiarity with FINRA systems and platforms (e.g., Web CRD, IARD, OATS, eFOCUS, Web EFT, Empower )
• Experience with entitlement management, access control, or identity governance processes
• Prior experience working in a regulatory, compliance, or financial services environment
• Experience conducting QC in support of government or law enforcement data requirements (e.g., DOJ, FBI, SEC)
• Advanced proficiency in Excel (pivot tables, data visualization, formulas) or other data analysis tools
• Experience developing or delivering training to peers or staff

• Hybrid work environment, with defined in-person presence requirements.
• Evening/weekend may be required on occasion.

• CO/FL/TX:
  Minimum Salary $72,400, Maximum Salary $129,200
• IL/PA:
  Minimum Salary $79,800, Maximum Salary $142,300
• MA/MD/VA/Washington, DC:
  Minimum Salary $83,300, Maximum Salary $148,600
• NY/NJ:
  Minimum Salary $83,300, Maximum Salary $155,100

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