INTRODUCTION

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.

Essential Job Functions:

• 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.

Other Responsibilities:

• Actively participates in development and testing of technology enhancements.

Education/Experience 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. Familiarity with broker-dealer back-office operations is a plus.
• 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. 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.
• Ability to work independently and collaboratively across departments and with technology partners is required.
• Ethics and Compliance certification from a recognized industry association is preferred.
• Experience working within case management or compliance tracking systems is required. Familiarity with compliance-related technology platforms and the ability to identify and communicate system discrepancies or enhancement needs is a plus.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Occasional travel may be required.
• Extended hours may be required.

COMPENSATION

For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

• Boston, MA: $112,300 - $202,500
• Chicago, IL: $107,500 - $194,100
• Denver, CO: $97,700 - $176,100
• Jericho, NY: $112,300 - $202,500
• Jersey City, NJ: $117,200 - $211,400
• Philadelphia, PA: $107,500 - $194,100
• New York, NY: $117,200 - $211,400
• Rockville, MD: $112,300 - $202,500
• Tysons, VA: $112,300 - $202,500
• Washington, DC: $112,300 - $202,500
• Woodbridge, NJ: $112,300 - $202,500
• Connecticut State: $97,700 - $211,400
• Washington State: $97,700 - $211,400

LI-Hybrid

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

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes 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. FINRA offers 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, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave

FINRA encourages its employees to focus on their health and wellness in many ways, including through a 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). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes 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). Full-time employees receive nine paid holidays.

• Based on full-time schedule

Important Information

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.

You can read more about these restrictions here.

As standard practice, 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.

Washington state applicants: click here for required notice(s).

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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