Info Ops Quality Assurance Analyst

About the Role

Join FINRA's Information Operations team as a Quality Assurance Analyst, where your work directly supports investor protection and market integrity. In this role, you'll take ownership of quality control initiatives, uncover trends, and help shape the processes that keep critical operations running accurately and efficiently — all with a high degree of independence and impact.

Responsibilities

• Quality Control & Compliance
  • Conduct statistical sampling and in-depth analysis of core Information Operations activities to ensure compliance with documented policies and procedures
  • Perform QC reviews of key systems and records, including CRD, EWS, and Active Directory (Empower ID), to identify errors and ensure accuracy
  • Review all documentation entered into the FINRA Entitlement Platform related to account creation, deletion, and modification across a broad suite of applications (e.g., Web CRD, IARD, Web EFT, PROCTOR, eFOCUS, OATS, and others) to ensure no unauthorized access is granted
  • Perform QC of data processed through Department of Justice applications and SEC requirements, including Electronic Fingerprint Processing and Name Check results to ensure demographic accuracy and correct FBI disposition uploads
• Data Analysis & Reporting
  • Compile and maintain QC statistics; perform root cause and trend analyses to identify risk areas, training needs, and process inconsistencies
  • Utilize systems such as the 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, and develop reports
  • Meet regularly with the QA Manager and other leaders to present findings and assist in developing action plans that improve accuracy, reduce risk, and eliminate recurring errors
• Process Improvement
  • Periodically review and revise QA work processes to ensure alignment with current policies, guidelines, and objectives
  • Assist in expanding QC coverage to additional areas within Information Operations, ensuring appropriate risk mitigation strategies are in place
  • Develop new processes as needed to address emerging risks or operational gaps
• Collaboration & Communication
  • Communicate findings and issue resolutions clearly, tactfully, and professionally across teams and units
  • Provide training and guidance to fellow QA staff members as needed
  • Collaborate effectively both in-person and virtually in support of FINRA's mission of investor protection and market integrity
  • Demonstrate FINRA's core values in all interactions and responsibilities
• Additional Responsibilities
  • Maintain and develop skills through training programs, classes, and staff meetings (which may occasionally fall outside standard business hours)
  • Support special projects and other duties as assigned to promote the effective operation of the QA Unit and broader Information Operations

Requirements

• Bachelor's degree or equivalent work-related experience
• Minimum of 4 years of relevant experience in a role utilizing research/analytical skills, quality control, and/or root cause and trend analysis
• Strong organizational skills, keen attention to detail, and the ability to manage multiple priorities simultaneously
• Proficiency in a Windows PC environment, including Microsoft Word and Excel
• Ability to extract and work with data from databases and reporting systems
• Strong verbal communication skills and solid foundational writing ability
• Strong interpersonal skills with the ability to work collaboratively across teams

Preferred Qualifications

• Familiarity with FINRA systems and platforms (e.g., Web CRD, IARD, OATS, eFOCUS, Web EFT, Empower ID)
• Experience with entitlement management, access control, or identity governance processes
• Prior experience working in a regulatory, compliance, or financial services environment
• Experience conducting QC in support of government or law enforcement data requirements (e.g., DOJ, FBI, SEC)
• Advanced proficiency in Excel (pivot tables, data visualization, formulas) or other data analysis tools
• Experience developing or delivering training to peers or staff

Work Conditions

Hybrid work environment, with defined in-person presence requirements. Evening/weekend may be required on occasion.

Pay

For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, the salary range is as follows:

• CO/FL/TX: $72,400 – $129,200
• IL/PA: $79,800 – $142,300
• MA/MD/VA/Washington, DC: $83,300 – $148,600
• NY/NJ: $83,300 – $155,100

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. 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.

Benefits

• Health & Insurance
  • Comprehensive health, dental, and vision insurance
  • Basic life, accidental death and dismemberment insurance
  • Supplemental life, spouse/domestic partner and dependent life insurance
  • Spouse/domestic partner and dependent accidental death and dismemberment insurance
  • Short- and long-term disability insurance
  • Long-term care insurance
  • Business travel accident insurance
  • Legal insurance
• Retirement
  • Immediate participation and vesting in a 401(k) plan with company match
  • Eligibility for participation in an additional FINRA-funded retirement contribution
• Additional Benefits
  • Tuition reimbursement
  • Commuter benefits
  • Adoption assistance
  • Backup family care
  • Surrogacy benefits
  • Employee assistance and wellness programs
• Time Off and Paid Leave
  • 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year)
  • 2 volunteer service days (based on full-time schedule)
  • Military leave, jury duty leave, bereavement leave, voting and election official leave
  • Care of a family member leave (available after 90 days of employment)
  • Childbirth and parental leave (available after 90 days of employment)
  • 9 paid holidays (based on full-time schedule)

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures uniquely related to our role as a securities regulator. Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements. Accounts are subject to investment restrictions, including disposing of securities issued by companies on FINRA’s Prohibited Company List or obtaining a written waiver. Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.