Membership Application Program Analyst - Member Supervision

This is an exciting opportunity to join our Membership Application Program (MAP). MAP is a vital program within Member Supervision, supporting FINRA’s overall regulatory mission of investor protection and market integrity.

MAP serves as the gatekeeper to the broker dealer industry. Any person or entity that would like to become a broker dealer, or any existing member that would like to materially expand, needs to apply to the MAP group.

The MAP team works within rule-mandated deadlines to review and analyze each application to ensure that the applicant meets the Standards for Admission before approval is granted.

We have various levels of MAP Examination positions open. See below and apply to be considered.

Examiner (Grade 44)

Essential Job Functions :

Review membership applications and other MAP matters as assigned. The Examiner possesses a competent level of knowledge of relevant rules, regulations, guidelines and industry practices.

Proactively identify notable trends in industry practices, products and procedures.

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.

Demonstrate proficient issue spotting, critical thinking, research and quantitative skills.

Possess a competent level of knowledge of securities products, activities of member firms and the industry.

Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner.

Communicates with applicants / consultants, member firms and district offices in a professional manner and with direct supervision and guidance.

Education / Experience Requirements :

Bachelor’s degree or an equivalent combination of education and experience required.

Knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.

Demonstrate working knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.

Excellent oral and written communication skills.

Possess excellent time management skills.

Minimum of one year of securities, compliance or financial regulatory experience.

Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Work Conditions :

Work is performed in a hybrid environment. Extended hours are frequently required. Work expectations include timely and high quality productivity.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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 .

California : Minimum of $63,600, Maximum of $122,300

Washington, DC : Minimum of $66,100, Maximum of $117,100

Colorado / Hawaii : Minimum of $57,500, Maximum of $101,900

New York, NY : Minimum of $69,000, Maximum of $122,300

Washington St : Minimum of $57,500, Maximum of $117,100

Associate Principal Examiner, (Grade 46)

Essential Job Functions :

Lead or participate in, and provide guidance and advice with regard to complex, novel, unique or high risk applications form membership and other membership matter types.

The Associate Principal Examiner possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.

Proactively identify notable trends in industry practices, products and procedures.

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.

Demonstrate proficient issue spotting, strong critical thinking, interviewing, research and quantitative skills.

Possess a proficient level of knowledge of securities products, activities of member firms and the industry.

Assist other examiners with the analysis of applications that may be complex, novel, unique or high risk.

Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner

Actively lead and participate in meetings with member firms, consultants, attorney’s and district office staff with with minimal supervision.

Lead classroom instruction on technical matters for the examination staff

Proactively identify ideas for in-house training.

Participate in developing course content and advising the Member Regulation Training unit on technical accuracy of classroom material.

Participate in developing or delivering training courses for all department employees.

Serve as a mentor and coach to other staff.

Moderate and / or present subject matter material at internal meeting and conferences including, new Examiner trainings or other FINRA training programs.

Participate in Peer and / or Quality Reviews for the district, regional or national program.

Education / Experience Requirements :

Bachelor’s degree or an equivalent combination of education and experience required. Finance, Business Administration, Economics or related field preferred;

advanced degree / certifications a plus.

Proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.

Demonstrate proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.

Demonstrate a track record in developing appropriate regulatory responses and / or processes for managing risks.

Excellent oral and written communication and presentation skills.

Possess excellent time management skills.

Minimum of five years of securities, compliance or financial regulatory experience.

Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Work Conditions :

Work is normally performed in a hybrid environment. Extended hours are frequently required. Work expectations include timely and high quality productivity.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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 .

California : Minimum of $84,500, Maximum of $165,100

Washington, DC : Minimum of $88,400, Maximum of $158,200

Colorado / Hawaii : Minimum of $76,800, Maximum of $137,500

New York, NY : Minimum of $92,200, Maximum of $165,100

Washington St : Minimum of $76,800, Maximum of $158,200

Principal Examiner - (Grade 47)

Essential Job Functions :

Lead or participate in, and provide guidance and advice with regard to complex / novel / unique or high risk applications.

The Principal Examiner possesses a high proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.

Complete assignments in a timely manner as mandated by the department and / or rules.

Proactively identify and strategize recommendations regarding notable trends in industry practices, products and procedures.

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.

Demonstrate advanced critical thinking, issue spotting, interviewing, research and quantitative skills.

Possess a high proficient level of knowledge of securities products, activities of member firms and the industry.

Support Application Managers in conducting reviews of other examiner work product. Assist other examiners on application and other Map related matters or special projects as needed.

Actively lead and participate in meetings on firms with minimal supervision.

Lead classroom instruction on technical matters for the application staff.

Proactively identify ideas for in-house training.

Participate in developing course content and advising the Member Regulation Training unit on technical accuracy of classroom material.

Participate in developing or delivering training courses for all department employees.

Serve as a mentor and coach to other staff.

Moderate and / or present subject matter material at internal meeting and conferences including, new Examiner trainings or other FINRA training programs.

Participate in Peer and / or Quality Reviews for the district, regional or national program.

Education / Experience Requirements :

Bachelor’s degree or an equivalent combination of education and experience required

Highly proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.

Demonstrate highly proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.

Demonstrate a track record in developing appropriate regulatory responses and / or processes for managing risks.

Excellent oral and written communication and presentation skills.

Possess excellent time management skills.

Minimum of six years of securities, compliance or financial regulatory experience.

Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Work Conditions :

Work is normally performed in a hybrid environment. Extended hours are frequently required. Work expectations include timely and high quality productivity.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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 .

California : Minimum Salary $98,400, Maximum Salary $193,400

Washington, DC : Minimum of $102,800 Maximum of $185,300

Colorado / Hawaii : Minimum Salary $89,400, Maximum Salary $161,200

New York, NY : Minimum Salary $107,200, Maximum Salary $193,400

Washington : Minimum Salary $89,400, Maximum Salary $185,300

Other Responsibilities

Education / Experience

Bachelor’s degree or an equivalent combination of education and experience required. Finance, Business Administration, Economics or related field preferred;

advanced degree / certifications a plus.

Proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.

Demonstrate proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.

Demonstrate a track record in developing appropriate regulatory responses and / or processes for managing risks.

Excellent oral and written communication and presentation skills.

Possess excellent time management skills.

Minimum of five years of securities, compliance or financial regulatory experience.

Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

Work Conditions

Work is normally performed in an hybrid environment at FINRA, Extended hours are frequently required. Work expectations include timely and high quality productivity.

LI-DNI