Compliance Finra Jobs (NOW HIRING)

This position provides operational and analytical support for FINRA's management of criminal justice information (CJI) as required by the Federal Bureau of Investigation's (FBI's) Criminal Justice Information Services (CJIS), including the CJIS Security Policy (FBI Policy) and applicable criminal justice information standards. The position is under the general supervision by the Associate Director, Criminal Justice Information Services.
This role is responsible for supporting and monitoring operational and security policies, standards, and requirements in handling CJI as mandated by federal agencies such as the FBI and National Institute of Standards and Technology (NIST), as well as the federal-state National Crime Prevention and Privacy Compact Council (Compact Council).

Essential Job Functions:

• Monitor and coordinate enterprise-wide CJI training of all required FINRA personnel on a monthly basis to ensure compliance with FBI Policy training requirements when accessing CJI, including criminal history record information (CHRI).
• Support the operationalization of requirements from FBI Policy and other federal standards into measurable and actionable activities.
• Compile and review evidence from FINRA's designated fingerprint channeler and participating electronic fingerprint providers to validate ongoing compliance with evolving FBI security requirements and procedures.
• Analyze and monitor monthly reports from FINRA's fingerprint channeler to validate that service level agreements (SLAs) are met, including response times and quality standards. Track applicable metrics and identify gaps for SLA deficiencies for management awareness.
• Compile evidence in support of FBI CJIS audits of the FINRA Fingerprint Program and FINRA audits of the fingerprint channeler, and track progress on remediating identified deficiencies.
• Research possible FBI-reportable CJI incidents and create incident summary reports for management review.
• Compile performance data that supports objectives and key results (OKRs) and key performance indicators (KPIs) to maintain a culture of measurement and compliance.
• Maintain current knowledge of FBI Policy, federal regulations, and industry best practices through continuing education and professional development.
• Maintain CJI-related content on finra.org and FINRAnet to ensure the latest information to the FBI Policy and other related requirements are available.
• Actively contribute to meetings, working groups, and events concerning FINRA's Fingerprint Program by providing program updates.
• Other duties assigned are based on operational needs.
• Demonstration of FINRA's values.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor's degree or equivalent combination of education and relevant experience required.
• Minimum of 5 years of business analytics, compliance, legal, audit, or related fields. Direct experience with implementing or monitoring compliance with FBI Policy or NIST policies is preferred.
• Strong analytical skills.
• Advanced knowledge of Microsoft Office i.e., Excel
• Proven ability to collaborate.
• Demonstrated ability to work independently, adapt to changing priorities, and thrive in a fast-paced environment.
• Strong written and oral communication skills.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours and overnight travel may be required.

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

CO/FL/TX: Minimum Hourly Rate $34.80, Maximum Hourly Rate $62.09

IL/PA: Minimum Hourly Rate $38.40, Maximum Hourly Rate $68.41
MA/MD/VA/Washington, DC: Minimum Hourly Rate $40.07, Maximum Hourly Rate $71.46

NY/NJ: Minimum Hourly Rate$40.07, Maximum Hourly Rate$74.57

#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.

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.

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 accommodations in the application process.

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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