Principal Analyst, Financial Disclosure & Trading

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 Codes Procedures and Guidelines FINRAnet guidance and training materials. Conducts Code of Conduct roadshow presentations to help FINRA staff and managers avoid compliance missteps.
• Demonstrates FINRAs values.
• Collaborates both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

• Actively participates in development and testing of technology enhancements.

• Bachelors 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.

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

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 addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Boston MA: $112300 - $202500

Chicago IL: $107500 - $194100

Denver CO: $97700 - $176100

Jericho NY: $112300 - $202500

Jersey City NJ: $117200 - $211400

Philadelphia PA: $107500 - $194100

New York NY: $117200 - $211400

Rockville MD: $112300 - $202500

Tysons VA: $112300 - $202500

Washington DC: $112300 - $202500

Woodbridge NJ: $112300 - $202500

Connecticut State: $97700- $211400

Washington State: $97700- $211400

#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.

Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site enter into your browser to reach our site directly.

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

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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.

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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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