Associate Principal Analyst

The Associate Principal Analyst is responsible for supporting the Senior Director, Strategic Engagements and Publications by enabling cross collaboration and strategic planning for events and publications, acting as a point of contact for OSE engagement and publication coordination, including intake of potential Member Supervision external engagement opportunities and publication topics at a high level.

This role acts as a central coordinator for Member Supervision’s Office of Strategic Engagement (“OSE”) to enable point of contact management for Member Supervision external engagements and Member Supervision publications, aligning OSE’s publication topics and agenda to coincide with events that Member Supervision will be attending. This role supports the Directors responsible for Engagements and Publications, bringing additional focus on overall engagement strategic planning to ensure timely coordination for execution of both areas.

Additionally, the Associate Principal Analyst will manage data gathering and reporting for OSE to ensure a centralized, consistent, and complete data repository to reflect Member Supervision’s external engagements and publication reporting, including engagement statistics and information for events and publications.

Essential Job Functions:

External Engagement Coordination:

• Track and coordinate engagements for Member Supervision to ensure that: (1) the events are vetted for OSE endorsement for engagement, (2) participants/ speakers are recommended and appointed by appropriate leadership (such as Strategic Advisors) and the chosen participant is informed and agrees to the event, (3) the participant has been provided the appropriate resources for a successful event, including talking points (coordinating talking point construction by gathering input from subject matter experts and providing draft talking points to OSE Directors and Leadership for review and feedback, (4) other coordination has been provided as needed with other teams.
• Act as the point person to manage the calendar of events for Member Supervision participation and ensure timely preparation.

Publication & Engagement Input:

• Proactively reach out, obtain, and review responses from senior leaders and stakeholders regarding publication topics, as well as external engagement opportunities. Organizing these responses, the Analyst will work with the Directors responsible for Engagements and Publications to create schedule and strategy. This process will help direct OSE with prioritizing Member Supervision external partner and organization engagement and events in which Member Supervision should participate.
• Coordinate with Director of publications to manage publication agenda, prioritization, and timing to best target events/ speaking opportunities that align with publication topics.

Engagement and Publication Data Steward:

• Responsible for organized and accurate logging of appropriate data points for OSE managed external engagements and Member Supervision external publications, working in close partnership with the Member Supervision Data Steward, Technology, and other FINRA teams.
• Develop reporting in a manner that most effectively represents information necessary to report to senior leadership. This includes data organization, processing, and visualization.

Other Responsibilities:

• Coordinate and process feedback from senior leaders and stakeholders from within Member Supervision, Member Relations and Education, Office of General Counsel, and the broader Regulatory Operations teams, to assist OSE with incorporating feedback to continually innovate and inform new publications and content, as well as prioritizing and navigating engagements and activities with internal and outside organizations.
• Organize data related to publications and event engagements and use it to produce reporting with actionable insights and strategic intelligence that demonstrates Member Supervision involvement in engagements, as well as engagement on Member Supervision publications, for Member Supervision leadership.

Education & Experience Requirements:

• Bachelor's Degree and six to eight years of related experience or combination of education and experience. Degree in finance, economics, business, related field preferred.
• Experience in the securities industry is highly desirable.
• Extremely strong analytic, writing, organizational, project management and interpersonal skills are essential as is attention to detail and the intellectual flexibility to work on projects addressing highly disparate subjects.
• Experience with data analytics, using tools like Microsoft PowerBI, Tableau, Google Analytics, relational databases, and software reporting publication (web/email) engagement.
• Strong writing and presentation skills highly desirable.

Working Conditions:

• Work is performed in a hybrid work environment. Occasional travel may be required. Extended hours may be required.

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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Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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

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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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