Associate Principal Analyst, MS Operations, Procedures and Standards - All FINRA Locations at FINRA in Rockville, Maryland

Job Description:

This position is an established individual contributor in Business Enablement, Member Supervision Operations, Procedures and Standards (MS OPS). This role works under moderate supervision to to develop strategies to optimize and improve our business processes. This role will evaluate the program for areas of improvement, help to resolve complex issues, and support regulatory initiatives by partnering with key stakeholders. This role requires project management, relationship management, and a high level of attention to detail.

Essential Job Functions:

• Assists in the strategic exploration and adoption of innovative solutions, working to develop improvement strategies linked to key business objectives that address program inefficiencies, through new processes, controls, or procedures.


• Maintains intermediate working knowledge of departmental functions and industry developments.


• Assists with facilitating departmental wide meetings to communicate updates and train staff on programmatic changes to processes, tools, controls, technology, policy/procedures.


• Develops educational content to ensure the effective adoption of initiatives.


• Develops and maintains working relationships across Member Supervision, throughout FINRA, and with other stakeholders, including the SEC, states, other regulatory agencies, and the industry.


• Assists senior staff with strategic objectives deliverables and issue remediation.


• Maintains and develops content on internal websites.


• Evaluate and analyze current process metrics and performance to identify areas requiring improvements.


• Collect and analyze operational and program-specific feedback as well as overall employee sentiment.


• Develop and/or source questions and content for the feedback by partaking in meetings seeking to identify patterns and trends and recommend action plans.


• Independently performs detailed analysis to identify key themes from outreach to deliver reports, talking points, or summaries for senior leadership on trends, issues, and recommend action plans.


• Supports the development and maintenance of operational metrics, providing insight into key performance and key risk indicators for senior management.


• Assists with, and at time leads special projects and ad hoc initiatives including, but not limited to, internal and external requests.


• Communicate project status and establishes clear lines of communication with stakeholders to coordinate activities and facilitate the sharing of important information.


• Create effective plans to manage project interdependencies and ensures that roles, responsibilities, and expectations are clearly defined and understood to ensure project deliverable are met.


• Demonstrates subject matter expertise and an ability to coach and train more junior colleagues in techniques, processes, and responsibilities.

Education/Experience Requirements:

• Bachelor’s degree in business or related field and a minimum of four (4) years of directly related securities experience, or an equivalent combination of education and experience.


• Knowledge of securities industry rules, regulations and guidelines required.


• Demonstrated understanding of regulatory/policy requirements, the impact on process and controls, and ability to succinctly document all elements.


• Exemplifies research/analytical skills.


• Excellent written and verbal communication skills, including interpersonal skills and presentation skills.


• Strong organizational, time-management, problem solving, and organizational skills are highly desired. Attention to detail is essential.


• Proficiency in Microsoft Windows-based software applications.

Working Conditions:

• Work is normally performed in an office environment at FINRA.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $91,500, Maximum Salary $170,900

CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300

IL*: Minimum Salary $87,500, Maximum Salary $156,600

Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900

MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700

WA: Minimum Salary $79,500, Maximum Salary $163,700

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

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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 application accommodations. 

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 of 15 days of paid time off, 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.

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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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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