Info Ops Quality Assurance Analyst

FINRA • Rockville, MD

3d • $72,400 - $155,100 • Hybrid

About The Position

FINRA's Information Operations team is seeking a detail-oriented Quality Assurance Analyst passionate about process improvement and data-driven decision-making. This role directly supports investor protection and market integrity by taking ownership of quality control initiatives, uncovering trends, and shaping critical operations for accuracy and efficiency with a high degree of independence and impact.

Requirements

• 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.

Nice To Haves

• Familiarity with FINRA systems and platforms (e.g., Web CRD, IARD, OATS, eFOCUS, Web EFT, Empower ID).
• 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.

Responsibilities

• 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 ID), 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.

Benefits

• Discretionary bonus
• Overtime pay
• Comprehensive health, dental and vision insurance
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short- and long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance program
• Wellness programs
• Generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days)
• 5 personal days
• 9 sick days
• Two volunteer service days
• Military leave
• Jury duty leave
• Bereavement leave
• Voting and election official leave
• Care of a family member leave
• Childbirth and parental leave
• Nine paid holidays

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree