Principal Analyst, Member Supervision Information, Records & Entitlement Management – All FINRA Locations

This role is responsible for administering key aspects of Member Supervision’s ongoing information management, records management, and entitlements management programs and operations. This individual will possess a strong track record of execution excellence in information management, records management, and entitlements management roles. This role will collaborate frequently across the Member Supervision Department (“the Department”), and across FINRA’s Regulatory Operations, Data Privacy, Records Management, and Technology teams. This role is an experienced individual contributor who works independently with minimal supervision.

Essential Job Functions:

• Provides complex navigational support for electronic information management systems by responding to technical inquiries from users at all levels, developing and delivering training demonstrations, and creating troubleshooting guides for employees across the Department.
• Independently conducts daily activities within the Information Management, Records Management, and Entitlements Management work area, including leading e-record conversions, implementing security and authorization controls, and ensuring policy compliance.
• Manages entitlements for the Department’s systems and records locations (e.g., approving requests, configuring entitlements groups, facilitating periodic entitlements reviews, etc.).
• Partners with Department Records Manager and Information Manager in:
• Developing and implementing firm and department policies and procedures, training and communication related to information classification, safeguarding of confidential information, establishing and administering related controls, reviewing and triaging loss reports, and other applicable information management guidelines.
• Collaborating with FINRA’s Regulatory Operations, Data Privacy, Records Management, and Technology to facilitate Department’s adoption of new records locations and best practices.
• Leading and serving as subject matter expert on projects to improve records management and information management processes and tools for the Department.
• Evaluates capabilities of emergent technologies and information management systems (in-house or third-party vendor) and prepares business impact analyses for senior management.
• Drives the success of work area processes by overseeing the collection, categorization, storage, distribution, and destruction of electronic and physical records and information.

Other Responsibilities:

• Advocates on behalf of the Department and Regulatory Operations, and the data owned by the Department in enterprise-level forums, including Enterprise Data Privacy Office, Enterprise Records, and the Data Management Governance Office.
• Represents the Department on internal committees related to the Information Management, Records Management, and Entitlements Management work area as needed.

Education/Experience Requirements:

• Bachelor’s degree with a business or information technology focus, or equivalent combination of education and relevant experience.
• Minimum seven (7) years of experience in the securities/financial services industry required with deep knowledge of information management and record management.
• Strong organizational, time-management, and prioritization skills.
• Strong data analytics, critical thinking, and decision-making skills.
• Strong stakeholder management and engagement skills.
• Strong verbal and written communication skills, including presenting to senior leadership.
• Strong skills in the full suite of Microsoft Office products.
• Demonstrated ability to interface effectively and in a positive manner with management, peers, and other constituencies necessary to accomplish the mission and goals of the team.

Working Conditions:

• This is a hybrid position, with office attendance expected as deemed necessary.
• Some travel 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 $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

WA: Minimum Salary $92,500, Maximum Salary $191,800

• 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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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 Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

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

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.

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