Principal Analyst, Dispute Resolution Services Training

Min 6 yrs required

Full-time

No

H1: Principal Analyst, Dispute Resolution Services Training at FINRA
H2: Join Our Team and Make a Difference in the Securities Industry

FINRA, the Financial Industry Regulatory Authority, is seeking a highly qualified Principal Analyst to join our Dispute Resolution Services (DRS) team. In this role, you will have the opportunity to create, maintain, and update training modules for key DRS regional job categories. You will train new regional hires and provide just-in-time, customized training for all levels of DRS staff. This is an exciting opportunity to empower employees with the knowledge and skills necessary to ensure the consistent quality of their work and make a difference in the securities industry.

Key Responsibilities:

- Conduct on-the-job training for new and existing staff members conducting essential DRS functions
- Collaborate with staff across all firm groups to identify and prioritize risk and inform training content design
- Design and facilitate training programs for introductory and ongoing development needs, in close collaboration with Quality Control leadership teams and department senior management
- Provide support in managing real-time assignments and tasks to make up for skill gaps
- Create and deliver training on new rules, procedures, and policies, as well as refresher training on topics identified through quality control reviews
- Seamlessly integrate FINRA-wide new hire training with DRS-specific training and onboarding in collaboration with the People Solutions Onboarding Team

Requirements:

- Bachelor’s degree and a minimum of six (6) years of experience in the alternative dispute resolution field; or an equivalent combination of education and experience
- Law degree preferred
- Experience in management of FINRA arbitration cases preferred
- Experience in designing, developing, and delivering training and development programs
- Advanced knowledge of relevant FINRA and SEC rules, the DRS Procedures Manual, MATRICS, and the DR Portal
- Expert critical thinking, research, and analytical skills
- Excellent communication skills, both verbal and written
- Ability to identify and prioritize risk
- Strong relationship building skills

Salary Information:

- California: Minimum Salary $106,400, Maximum Salary $200,200
- Washington, DC: Minimum Salary $106,400, Maximum Salary $191,800
- Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
- New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
- Washington State: Minimum Salary $92,500, Maximum Salary $191,800

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Benefits and Perks:

- Comprehensive health, dental, and vision insurance
- Additional insurance options, including basic life, supplemental life, and disability
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement and many other benefits
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- Two volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, and other paid leave options
- Nine paid holidays (based on full-time schedule)

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. All employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements.
- New employees must comply with investment restrictions, including disposing of any security issued by a company on FINRA’s Prohibited Company List.
- Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

Join Our Team and Make a Difference in the Securities Industry

FINRA is an Equal Opportunity and Affirmative Action Employer. We value diversity and do not discriminate on the basis of 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. We also consider the protected status of the person’s relatives, friends, or associates.

We abide by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively. We take affirmative action to employ and advance qualified individuals with disabilities and protected veterans.

Apply now to join our team and make a difference in the securities industry.

Not specified

Comprehensive health, dental, and vision insurance; life and disability insurance; retirement plans; paid time off; volunteer service days; military leave; jury duty leave; bereavement leave; voting and election official leave; care of family member leave; childbirth and parental leave

Not specified

Training and development, risk assessment, problem solving, legal knowledge, communication, relationship building, time management, critical thinking, research, analytical skills, project management, leadership

Bachelor's degree, preferably in Law

Submit application on FINRA Careers site

Qualification and Experience Bachelor's degree, preferably in Law, with at least 6 years of experience in alternative dispute resolution or equivalent combination of education and experience

Legal