Principal Analyst, Financial Disclosure & Trading

FINRA•Rockville, MD

22h•$97,700 - $211,400•Hybrid

About The Position

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for performing activities intended to ensure the accuracy and timeliness of employee financial disclosures and the detection and resolution of trading violations. The Principal Analyst represents ECO at internal speaking engagements and develops written content on financial disclosures and trading restriction compliance for use within Code of Conduct guidance materials and training programs. This position is an experienced individual contributor who works independently with minimal supervision while maintaining strict confidentiality of sensitive financial and personal information.

Requirements

Bachelor’s degree in Finance, Economics, Business, or related field and a minimum of seven (7) years of experience in a securities-related compliance program.
Expert-level knowledge of securities and options products, transactions, and account types is required.
Excellent verbal and written communication skills are required. The position involves extensive interaction with employees and managers at all levels of the organization; tact, courtesy, and professionalism are essential.
Demonstrated ability to independently manage multiple deadlines and competing priorities.
Strong organizational skills and attention to detail are required.
Strong analytical and critical thinking skills are required, including the ability to evaluate complex scenarios, identify compliance issues, and recommend solutions within established criteria.
Proficiency in Microsoft Excel and Word is required.
Ability to work independently and collaboratively across departments and with technology partners is required.
Experience working within case management or compliance tracking systems is required.
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator.
FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA.
Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Nice To Haves

Familiarity with broker-dealer back-office operations is a plus.
Experience with Microsoft Office Suite, Adobe Acrobat, Power BI and Co-Pilot is preferred.
Experience developing written policies, procedures, guidance, or training materials is preferred.
Ethics and Compliance certification from a recognized industry association is preferred.
Familiarity with compliance-related technology platforms and the ability to identify and communicate system discrepancies or enhancement needs is a plus.

Responsibilities

Responds to oral and written inquiries from employees and managers across FINRA regarding financial disclosures and trading restriction requirements, including moderately complex scenarios.
Reviews employee account disclosures for quality and compliance issues. Addresses incomplete or untimely disclosures and escalates systemic issues with recommendations to management.
Consults with employees, managers, and candidates for hire on Code policy requirements, financial disclosure obligations, trading restriction policies, and hardship waiver eligibility. Documents consultations within the case management system and escalates complex or sensitive matters as appropriate.
Evaluates trading violations identified through surveillance sweeps and self-reports, calculates required disgorgements, and recommends resolutions within established criteria. Escalates matters requiring deviation from those criteria.
Manages prohibited securities waiver requests, conducts financial hardship analyses, and monitors approved waivers to ensure liquidation requirements are met. Communicates with employees and their management throughout the process.
Maintains and administers the Prohibited Company List (PCL), ensuring accurate and timely updates. Collaborates with FINRA departments to obtain and validate source data, coordinates with technology partners, and conducts quality review of deliverables. Identifies and communicates system discrepancies or enhancement needs to management and technology partners.
Develops written content on financial disclosure and trading restriction policies for the Code's Procedures and Guidelines, FINRAnet guidance, and training materials. Conducts Code of Conduct roadshow presentations to help FINRA staff and managers avoid compliance missteps.
Demonstrates FINRA’s values.
Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Actively participates in development and testing of technology enhancements.

Benefits

Employees may be eligible for a discretionary bonus in addition to base pay.
Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
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.
Immediate participation and vesting in a 401(k) plan with company match and 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.
Generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
Two volunteer service days (based on full-time schedule).
Military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
Nine paid holidays.