Policy Management Analyst - Member Supervision, Financial Operations, ROOR - New York, NY

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Analyst opening in New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.

Job Summary:

With supervisory guidance, provide clarification, technical guidance, advice and education to FINRA staff and member firms on financial and operational topics. Respond to interpretive questions, review and provide guidance on regulatory matters and issues pertaining to SEC and FINRA financial responsibility and operational rules, including Net Capital, Customer Protection, Broker-Dealer Reports, and Books & Records rules, and other related rules and regulations.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions:

  • Research and respond to interpretative questions, regulatory matters and issues related to SEC and FINRA rules, as referenced in Major Purpose section, and other rules. Participate in meetings with staff, member firms and/or other regulators to discuss and resolve financial and operational related interpretative questions. Provide guidance on specific regulatory matters, member firm proposals and other initiatives.
  • Research moderately complex proposed or adopted SEC and FINRA financial and operational rules and summarize key aspects for presentation to staff at educational and training sessions.
  • Maintain a high level of competency and expertise of SEC and FINRA financial responsibility and operational rules to address basic to moderately complex regulatory issues.
  • Lead, the preparation and presentation of training sessions to FINRA staff on financial and operational matters and related regulatory issues.
  • Assist in the preparation and publication of FINRA Regulatory Notices and rule interpretations.
  • As assigned, represent the department or FINRA on internal and external committees, meetings, conferences, training seminars and other events to discuss and provide technical advisement on financial and operational regulatory issues and other related initiatives.

Other Responsibilities:

  • Participate in and sometimes lead, with supervisory guidance, special projects, as assigned.
  • Assist the department's supervisor in gathering all information necessary to support a SIPC referral.


Education/Experience Requirements:

  • Bachelor's Degree in Accounting, Finance with a minimum of 9 credits in accounting preferred.
  • Minimum six years of securities industry experience in a regulatory, financial or operational capacity required.
  • Knowledge of broker-dealer operations a plus.
  • Technical knowledge of SEC and FINRA financial responsibility and operational rules to address moderately complex regulatory issues.
  • Demonstrated ability to analyze basic to moderately complex matters and business practices arising from various broker-dealer business models, including self-clearing, carrying, dealer, market-maker and special products firms.
  • Strong interpersonal skills. Emphasis on teamwork and collaboration.
  • Ability to work independently on key aspects of the job. Make sound judgments as to when a given scenario presents challenges beyond one's expertise and escalate the issue to his/her direct supervisor, or to more senior staff depending on underlying issue and department organizational structure/areas of expertise.
  • Effective analytical and presentation skills.
  • Strong written and verbal communication skills.
  • Time management skills and ability to manage projects and work independently to bring projects to completion.

Working Conditions:

  • Work is normally performed in an office environment, with extended hours when necessary.

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.

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.

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.


FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC's oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial system-all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work-and view our current openings-at www.finra.org/careers.

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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