Associate Principal Analyst, CAT Compliance

    • Rockville, MD

The Associate Principal Analyst conducts routine reviews of moderate to high complexity in search of unusual market activity for evidence of violations of applicable federal securities laws and FINRA and/or RSA client rules and regulations and assists senior staff on more complex assignments. This is advanced-level professional work in which incumbents are expanding skills and working under moderate guidance and minimal supervision.

Essential Job Functions:

  • Demonstrate superior knowledge of the preventive compliance program: Attend and actively participate in department training; Attend internal and/or external seminars when required; Demonstrate a complete understanding of the investigative process; Display and apply advanced knowledge of markets and rules in routine reviews and investigations; conduct moderate to high complexity investigations and regulatory reviews, working under minimal supervision and moderate guidance; Independently research issues and analyze data; Thoroughly document and clearly present examination findings; Assist and train others in conducting routine reviews; Submit high quality work product, requiring only minimal corrections.
  • Effectively and efficiently manage the daily workload to ensure tasks are completed within department/ management time frames: Exhibit consistently high productivity levels, frequently under tight deadlines; Start, complete, and revise assigned investigations within the established timeframes; Notify supervisor on a timely basis of any circumstances that may cause material changes to the projected completion dates.


  • Utilize computer resources and software applications for data analysis in the investigative/review process: Display advanced knowledge of available Market Regulation technology resources. Effectively utilize these resources in documenting routine reviews and investigations; All related activities (time and milestone dates) must be entered accurately, completely and timely in accordance with Department policy.


  • Effectively communicate and coordinate with member firms and fellow analysts: Demonstrate effective verbal and written communication skills; Share knowledge of markets with less experienced staff; Conduct comprehensive compliance interviews; Exercise initiative and address difficult situations more independently; Source of the findings must be researched and thoroughly investigated, and must be communicated to the supervisor on a timely, ongoing basis; Prepare and submit well-organized, detailed, and accurate investigative reports; Present investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion; Suggest recommendations as to the disposition of reviews; Request additional assignments when workload permits; Discover areas of the assigned program requiring further development and/or improvement and assist in implementing solutions.


  • Mentor and train junior level examiners: Take an active role in mentoring and development of assigned trainees; Provide guidance to less experienced staff and others on complex issues; Review the work of trainee prior to the exit conference and exam submission for supervisory review; Provide timely, meaningful feedback to examiner and supervisor on exam progress and trainee’s development; identify subject areas where additional individual and/or office-wide training is necessary and communicate such needs to supervisor on a timely basis; Prepare and conduct presentations of review area(s) as required; Share ‘case’ experiences during training sessions as appropriate.


  • Participate in special projects: When requested, conduct supervisory review of investigations/sweeps with minimal corrections.; During supervisory reviews, provide feedback to examiners and management on examiner performance and exam results (including modifications); conduct special projects or other assignments with minimal corrections in accordance with project goals, objectives, policies and procedures; All project work must be started, completed and revised, as necessary within the established timeframes.


Education/Experience Requirements:
  • Bachelor’s degree or equivalent work experience demonstrating research/analytical skills.
  • Major in Finance, Accounting, Business or related field preferred.
  • At least six (6) years of related experience required.Â
  • Knowledge of securities industry rules, regulations and guidelines preferred.
  • Excellent written and verbal communication skills required.
  • Competence using a desktop computer with the full suite of office software applications required.


Work Conditions:
  • Work is normally performed in an office environment.
  • Extended hours and overnight travel may be required.Â
  • Ability to work under pressure.Â
  • Attention to detail is essential.Â
  • Strong verbal and written communication skills and technical capabilities are essential to position.


To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

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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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 restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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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