Principal Analyst, Dispute Resolution Services Training

The Principal Analyst is responsible for creating maintaining and updating training modules for key Dispute Resolution Services (DRS) regional job categories. Train new regional hires. Create and deliver just-in-time customized training for all DRS staff levels on new rules procedures and policies and refresher training on topics identified through quality control reviews. Empower through training both new and seasoned employees with the knowledge and skills necessary to help them gain confidence in their roles and ensure the consistent quality of their work.

Essential Job Functions:

• Partners with the regional offices and infrastructure departments to conduct On-the-Job Training for new and existing staff members conducting DRS essential functions
• Works with staff across all firm groups to identify and prioritize risk in order to inform training content design
• Builds out the program content design and facilitation for introductory and ongoing development needs in close collaboration with Quality Control leadership teams and department senior management
• Makes up for skill gaps and provides support in managing real-time assignments/tasks
• Creates and delivers training to all DRS staff levels on new rules procedures and policies and refresher training on topics identified through quality control reviews.
• Independently prepares and conducts training that addresses critical technical training needs in area of expertise
• Collaborates with People Solutions Onboarding Team to seamlessly integrate FINRA wide new hire training with DRS specific training and onboarding.
• Demonstration of FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelors degree and a minimum of six (6) years of experience; or an equivalent combination of education and experience.
• Law Degree preferred.
• Experience in designing developing and delivering training and development programs.
• Experience in the alternative dispute resolution field and management of FINRA arbitration cases preferred.
• Advanced working knowledge of relevant FINRA and SEC rules the DRS Procedures Manual MATRICS and the DR Portal preferred.
• Advanced knowledge of expungement expedited suspension procedures the Federal Arbitration Act DRS jurisdictional rules exchanges that use DRS services injunctive relief statutory discrimination rules and laws and discovery rules policies and procedures preferred.
• Should possess problem solving skills and initiative required to assess situations and resolve problems.
• Expert critical thinking research and analytical skills. Consistently works independently with limited supervision.
• Consistently manages time effectively completes assignments within budgeted timeframes and makes timely decisions.
• Advanced ability to identify and prioritize risk.
• Consistently and effectively articulates through both excellent verbal and written communications skills complex material into easily understandable language to be understood by recipient.
• Expert relationship building skills.
• Excellent oral and written communication skills required.

Work Conditions:

• Hybrid work environment with defined in-person presence requirements.

For work that is performed in Los Angeles and San Francisco CA CO FL TX IL PA MA MD VA Washington DC NY and NJ 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.

Los Angeles CA: Minimum Salary $92300 Maximum Salary $138400

San Francisco CA: Minimum Salary $96300 Maximum Salary $144400

CO/FL/TX: Minimum Salary $97700 Maximum Salary $176100

IL/PA: Minimum Salary $107500 Maximum Salary $194100

MA/MD/VA/Washington DC: Minimum Salary $112300 Maximum Salary $202500

NY/NJ: Minimum Salary $112300 Maximum Salary $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 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

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.

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 FINRAs Employee Relations team at or by email at . 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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