Business Operations Quality Control Analyst

Are you a detail-oriented professional with a passion for process improvement and data-driven decision-making? 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.

What You'll Do

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

Required Qualifications:

• 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.

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 Salary $72,400, Maximum Salary $129,200

IL/PA: Minimum Salary $79,800, Maximum Salary $142,300

MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600

NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100

#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 starting at 15 days of paid time off (increasing with years of service, up to 25 days), 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.

Washington state applicants: click here for required notice(s).

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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