Principal Analyst, Dispute Resolution Services Training

Principal Analyst

The Principal Analyst is responsible for creating, maintaining, and updating training modules for key Dispute Resolution Services (DRS) regional job categories. Train new regional hires. Create and deliver just-in-time, customized training for all DRS staff levels on new rules, procedures and policies and refresher training on topics identified through quality control reviews. Empower through training both new and seasoned employees with the knowledge and skills necessary to help them gain confidence in their roles and ensure the consistent quality of their work.

Essential Job Functions:

• Partners with the regional offices and infrastructure departments to conduct On-the-Job Training for new and existing staff members conducting DRS essential functions
• Works with staff across all firm groups to identify and prioritize risk in order to inform training content design
• Builds out the program content design and facilitation for introductory and ongoing development needs, in close collaboration with Quality Control leadership teams and department senior management
• Makes up for skill gaps and provides support in managing real-time assignments/tasks
• Creates and delivers training to all DRS staff levels on new rules, procedures, and policies and refresher training on topics identified through quality control reviews.
• Independently prepares and conducts training that addresses critical technical training needs in area of expertise
• Collaborates with People Solutions Onboarding Team to seamlessly integrate FINRA wide new hire training with DRS specific training and onboarding.
• 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 and a minimum of six (6) years of experience; or an equivalent combination of education and experience.
• Law Degree preferred.
• Experience in designing, developing, and delivering training and development programs.
• Experience in the alternative dispute resolution field and management of FINRA arbitration cases preferred.
• Advanced working knowledge of relevant FINRA and SEC rules, the DRS Procedures Manual, MATRICS, and the DR Portal, preferred.
• Advanced knowledge of expungement, expedited suspension procedures, the Federal Arbitration Act, DRS jurisdictional rules, exchanges that use DRS services, injunctive relief, statutory discrimination rules and laws, and discovery rules, policies, and procedures, preferred.
• Should possess problem solving skills and initiative required to assess situations and resolve problems.
• Expert critical thinking, research, and analytical skills. Consistently works independently with limited supervision.
• Consistently manages time effectively, completes assignments within budgeted timeframes and makes timely decisions.
• Advanced ability to identify and prioritize risk.
• Consistently and effectively articulates, through both excellent verbal and written communications skills, complex material into easily understandable language to be understood by recipient.
• Expert relationship building skills.
• Excellent oral and written communication skills required.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.

Salary Ranges:

For work that is performed in Los Angeles and San Francisco, CA, 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.

Los Angeles, CA: Minimum Salary $92,300, Maximum Salary $138,400

San Francisco, CA: Minimum Salary $96,300, Maximum Salary $144,400

CO/FL/TX: Minimum Salary $97,700, Maximum Salary $176,100

IL/PA: Minimum Salary $107,500, Maximum Salary $194,100

MA/MD/VA/Washington, DC: Minimum Salary $112,300 Maximum Salary $202,500

NY/NJ: Minimum Salary $112,300, Maximum Salary $211,400

#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.