Associate Principal Research Analyst, Special Initiatives

Financial Industry Regulatory Authority, Inc. Los Angeles , CA 90009

Posted 2 months ago

Special Initiatives executes strategic, high visibility thought leadership activities and publications that share with external audiences FINRA's perspectives on issues of concern or interest to the securities industry. The group also leads development and publication of alerts to make the industry aware of significant issue or problem trends.

The Research Analyst will be responsible for independently researching and synthesizing content related to the group's work as well as drafting documents such as FINRA's Annual Priorities Letter and the Exam Findings Report, Regulatory Notices and reports to the FINRA Board of Governors Regulatory Operations Oversight Committee. In this role, the Research Analyst will work with multiple groups within Member Supervision and across other FINRA departments. The Research Analyst will also be responsible for analyzing matters submitted to the Cybersecurity and IT Governance Disposition Group for review as well as proposed sweeps. The position will report to the Senior Director, Special Initiatives.

Essential Job Functions:

The Research Analyst will:

Conduct research and analysis of complex topics with minimal supervision:

  • This will include identifying the appropriate analytic framework as well as source material for the research and analysis.

  • Research topics will be highly diverse and may include, for example, trends in FINRA's examination findings, industry practices in particular areas (e.g., cybersecurity), or evolving statutory and regulatory requirements within a particular area within the securities industry.

  • Work with various FINRA departments to obtain content.

Draft and revise:

  • Externally-facing documents: Reports, Regulatory Notices and other high-profile documents to a standard suitable for publication; and

  • Internally-facing documents: Board materials, as well as background memoranda and talking points for senior Member Supervision staff.

  • Collaborate with internal departments - including Member Supervision, Office of the General Counsel and Office of Financial Innovation - to analyze, communicate and make recommendations with respect to subjects to include in externally- and internally-facing documents.

  • Deliver periodic oral presentations of research and analysis results to internal and external audiences.

  • Interact with both FINRA and external stakeholders, including representatives of member firms, the SEC, and industry groups.

  • Provide support for other special projects, as needed by the Senior Director.

Education/Experience Requirements:

  • Bachelor's degree required with a strong preference for JD or graduate degree.

  • Degree in finance, economics, business, or related field strongly preferred, but not required.

  • Five years of related experience.

  • Intermediate knowledge of financial firm business models, business lines, customer bases, products and services.

  • Intermediate-to-advanced knowledge of broker-dealer regulation and related compliance processes, with experience in interpreting rules and conveying associated requirements.

Skills Requirements:

  • Excellent written and oral presentation skills.

  • Strong organizational skills with exceptional attention to detail and an ability to prioritize and manage multiple complex deliverables and meet deadlines.

  • Intellectual flexibility and interest to work on widely disparate topics.

  • Effective at building and maintaining relationships with key partners and stakeholders.

  • Ability to engage and work effectively with senior management, across departments, and with staff in multiple locations.

  • Must be a self-starter with ability to work independently on unstructured assignments that require autonomy and independent judgment.

  • Intermediate quantitative, analytical and problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.

Working Conditions:

  • Work is normally performed in an office environment.

  • Occasional travel may be required.

  • Extended hours may be required

To be considered for this position, please submit an application.

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 www.finra.org/careers into your browser to reach our site directly.

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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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.

2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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Associate Principal Research Analyst, Special Initiatives

Financial Industry Regulatory Authority, Inc.