Associate Principal Analyst, Financial Disclosure & Trading
About The Position
The Associate Principal Analyst works in FINRA’s Ethics Office, supporting administration of the Code of Conduct and helping maintain the independence and integrity of FINRA’s regulatory efforts. Using the Code of Conduct Compliance System and related resources, the Analyst helps ensure employee financial disclosures are accurate and timely, reports disclosure status to senior management, and helps detect and resolve trading violations identified through surveillance or employee self-reporting. The role works under limited supervision from the Associate Director and maintains strict confidentiality of sensitive financial and personal information. The Analyst responds to employee and manager inquiries, reviews account disclosures, investigates electronic account-feed issues, evaluates trading violations and hardship waiver requests, and supports updates to FINRA’s Prohibited Company List. The position also develops and drafts Code of Conduct guidance, procedures, training and awareness materials; participates in employee consultations and roadshow meetings; supports cross-training junior analysts; and contributes to technology enhancements and testing. The role involves collaboration across FINRA and occasional travel. It is performed in a hybrid work environment with defined in-person presence requirements.
Requirements
- Bachelor’s degree in Finance, Economics, or Business, or equivalent financial-services-industry work experience demonstrating research and analytical skills.
- At least five years of experience in a securities-related compliance program.
- Extensive knowledge of basic securities and options, securities and options transactions, and securities account types.
- Excellent verbal and written communication skills; tact and courtesy in extensive communication with employees and managers.
- Demonstrated ability to manage multiple deadlines and priorities, with strong organizational and project management skills.
- Attention to detail, data analysis skills, accuracy, and critical thinking.
- Expertise using Microsoft Excel and Microsoft Word.
- Ability to function effectively in a team environment.
- Ability to use a desktop computer daily.
- Ability to work under pressure, meet deadlines, and manage multiple tasks efficiently and accurately.
Nice To Haves
- Familiarity with broker-dealer back-office operations.
- Experience with Webex, PowerPoint, Access, and Adobe Acrobat.
- Ethics and compliance certification from a recognized industry association; FINRA will sponsor certification if needed.
Responsibilities
- Respond to increasingly complex oral and written inquiries from FINRA employees and managers about financial disclosure and trading restriction requirements.
- Review employee account disclosures for quality and apparent compliance issues, and address incomplete or untimely disclosures.
- Maintain electronic account feeds, investigate and resolve apparent issues, and escalate unresolved matters to the Associate Director.
- Participate in consultations with candidates for hire regarding Code requirements, trading restrictions, hardship waivers, and pre-employment requirements; document written synopses in the case management system.
- Evaluate trading violations identified through surveillance sweeps or self-reported by employees, calculate required disgorgements, and recommend resolutions within Office criteria.
- Handle prohibited securities waiver requests and related communications with employees and management, including executive vice presidents.
- Conduct financial hardship analyses of increasing complexity and monitor approved waivers to ensure liquidation requirements are met.
- Support research and analysis for timely publication of FINRA’s Prohibited Company List, obtain source data from FINRA departments, review consultant work products, and conduct further research as directed.
- Prepare presentation materials and accompany the Associate Director at Code of Conduct roadshow meetings.
- Draft content on financial disclosure and trading restriction policies for procedures, guidelines, FINRAnet, training, and awareness materials.
- Support cross-training junior analysts and monitor the quality and timeliness of their work and communications.
- Draft updates to written procedures and present them to the Associate Director.
- Participate in development and testing of technology enhancements.
- Handle sensitive information confidentially.
- Demonstrate FINRA’s values and collaborate in person and virtually in support of FINRA’s mission.
- Work under pressure, meet deadlines, and manage multiple tasks efficiently and accurately.
Benefits
- Comprehensive health, dental, and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and related accidental death and dismemberment insurance.
- Short- and long-term disability, long-term care, business travel accident, and legal insurance.
- Immediate participation and vesting in a 401(k) plan with company match.
- Eligibility for an additional FINRA-funded retirement contribution.
- Tuition reimbursement.
- Commuter benefits.
- Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
- Discretionary bonus eligibility; non-exempt employees are also eligible for overtime pay in accordance with applicable law.
- Paid time off starting at 15 days and increasing with service up to 25 days, plus 5 personal days and 9 sick days, prorated in the first year as applicable.
- Two volunteer service days for employees on a full-time schedule.
- Paid military, jury duty, bereavement, voting and election official, family member care, childbirth, and parental leave, subject to stated eligibility and availability terms.
- Nine paid holidays for full-time employees.
- Membership in an ethics and compliance industry association.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
