Principal Analyst, Dispute Resolution Services Training

FINRA • Los Angeles, CA

5d • Hybrid

About The Position

The Principal Analyst is responsible for creating, maintaining, and updating training modules for key Dispute Resolution Services (DRS) regional job categories. They will train new regional hires and create and deliver just-in-time, customized training for all DRS staff levels on new rules, procedures, and policies, as well as refresher training on topics identified through quality control reviews. The goal is to empower both new and seasoned employees with the knowledge and skills necessary to gain confidence in their roles and ensure the consistent quality of their work. This role involves partnering with regional offices and infrastructure departments for On-the-Job Training, collaborating with staff across firm groups to identify and prioritize risk for training content, and building program content design and facilitation in collaboration with Quality Control leadership and senior management. The analyst will also address skill gaps, support real-time assignments, and prepare and conduct training independently in their area of expertise. Collaboration with the People Solutions Onboarding Team is key to integrating FINRA-wide new hire training with DRS-specific training and onboarding. The role also requires demonstration of FINRA’s values and collaboration in furtherance of FINRA’s mission of investor protection and market integrity.

Requirements

• Bachelor’s degree and a minimum of six (6) years of experience; or an equivalent combination of education and experience.
• Experience in designing, developing, and delivering training and development programs.
• Problem solving skills and initiative required to assess situations and resolve problems.
• Expert critical thinking, research, and analytical skills.
• Consistently works independently with limited supervision.
• Consistently manages time effectively, completes assignments within budgeted timeframes and makes timely decisions.
• Advanced ability to identify and prioritize risk.
• Consistently and effectively articulates, through both excellent verbal and written communications skills, complex material into easily understandable language to be understood by recipient.
• Expert relationship building skills.
• Excellent oral and written communication skills required.

Nice To Haves

• Law Degree preferred.
• Experience in the alternative dispute resolution field and management of FINRA arbitration cases preferred.
• Advanced working knowledge of relevant FINRA and SEC rules, the DRS Procedures Manual, MATRICS, and the DR Portal, preferred.
• Advanced knowledge of expungement, expedited suspension procedures, the Federal Arbitration Act, DRS jurisdictional rules, exchanges that use DRS services, injunctive relief, statutory discrimination rules and laws, and discovery rules, policies, and procedures, preferred.

Responsibilities

• Creating, maintaining, and updating training modules for key Dispute Resolution Services (DRS) regional job categories.
• Training new regional hires.
• Creating and delivering just-in-time, customized training for all DRS staff levels on new rules, procedures, and policies.
• Providing refresher training on topics identified through quality control reviews.
• Empowering new and seasoned employees with the knowledge and skills necessary to help them gain confidence in their roles and ensure the consistent quality of their work.
• Partnering with the regional offices and infrastructure departments to conduct On-the-Job Training for new and existing staff members conducting DRS essential functions.
• Working with staff across all firm groups to identify and prioritize risk in order to inform training content design.
• Building out the program content design and facilitation for introductory and ongoing development needs, in close collaboration with Quality Control leadership teams and department senior management.
• Making up for skill gaps and providing support in managing real-time assignments/tasks.
• Independently preparing and conducting training that addresses critical technical training needs in area of expertise.
• Collaborating with People Solutions Onboarding Team to seamlessly integrate FINRA wide new hire training with DRS specific training and onboarding.

Benefits

• 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, short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance.
• Wellness programs.
• 15 days of paid time off.
• 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 (available after 90 days of employment).
• Childbirth and parental leave (available after 90 days of employment).
• Nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal