Job Description:

This position implements Quality Assurance initiatives for Information Operations. This includes: reviewing and analyzing a sampling of daily work performed by other analysts, maintaining statistical data, and performing root cause and trend analysis under minimal supervision. Incumbent will be required to employ well developed subject-matter expertise and institutional knowledge to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate. Candidate must also possess strong interpersonal and analytical skills.

Essential Job Functions:

• Perform reviews, track errors and analyze data related to Quality Control (QC) with limited supervision and guidance. Conduct statistical sampling of core activities and perform analyses of results to ensure compliance with documented policies and procedures.


• Perform QC of key Information Operations functions by reviewing and analyzing information contained in CRD records, EWS, and Active Directory (Empower ID) applications. Utilize applications/databases such as Entitlement Productivity Access Log, Registration Operations Fingerprint Information System, Electronic Fingerprint Processing QC Database, Web EFT Tracking, and CRT and Remedy On Demand Systems to document errors, track data, develop reports, identify training issues, and ensure staff is compliant with service level agreements.


• Review and analyze all documentation and information entered into the FINRA Entitlement Platform by the Entitlement Unit regarding the creation, deletion, and modification of accounts for all applications (e.g., Web CRD, IARD, Regulation Filing Applications, Web EFT, New Member Application, Web IR, FINRA Waiver System, PROCTOR, eFOCUS, Report Center, OATS, SRM/eAnalytics, and NYSE Rule 407A Form) to ensure that no unauthorized access is granted.


• Perform QC of the data required to process information through the Department of Justice applications and SEC requirements. Conduct QC of Electronic Fingerprint Processing and Name Check results to ensure that demographic information is processed accurately, fingerprint statuses are correctly recorded into applicable systems, and FBI dispositions are accurately uploaded on the CRD System.


• Compile and maintain statistics and perform root cause and trend analyses of QC data. Meet with QA Manager and other managers, as appropriate, to discuss areas of risk, trends, training needs, and work process inconsistencies. Assist with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.


• Periodically review and revise Quality Assurance’s work processes to ensure they are current and are consistent with the Unit’s policies, guidelines, and objectives to help minimize any risk to FINRA. Develop new processes as necessary.


• Assist in the development of QC for additional areas in Information Operations to ensure proper mitigation strategies are in place to reduce risks within the department.


• Communicate effectively with other staff and units to provide resolution to issues with clarity, tact and professionalism.


• Provide training as necessary to other Quality Assurance staff members.

Other Responsibilities:

• Maintain essential skills by attending classes, training programs, and required staff meetings, which may occur outside of normal business hours.


• Assist with special projects as assigned by management.


• Perform other duties required to maintain and promote the effective operation of the Quality Assurance Unit and other units within Information Operations.

Education/Experience Requirements:

• A Bachelor’s degree or the equivalent work-related experience required. A minimum of four years relevant experience required in a role that utilized research/analytical skills, quality control, and/or root cause and trend analysis.


• Strong organizational and interpersonal skills, the ability to multi-task, and attention to detail are essential.


• Basic writing skills are required, and excellent verbal communications are necessary.


• Ability to extrapolate data in databases is required, as well as proficiency in Windows PC environment, including MS Word and Excel.

Work Conditions:

• Hybrid (at minimum 2 days a week onsite presence required)


• Must be within commutable distance to Rockville, MD


• Evening/weekend may be required on occasion.

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 $78,900, Maximum Salary $146,900

Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800

Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300
New York, NY: Minimum Salary $82,200, Maximum Salary $146,900

Washington State: Minimum Salary $68,500, Maximum Salary $140,800

#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. 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 and many other benefits. 

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 (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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