at FINRA in Chicago, Illinois, United States
Job Description
Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass?
As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sits at the nexus of broker-dealers, policymakers and investors. Our mission is investor protection and market integrity.
If this sounds intriguing, keep reading...
FINRA is hiring a Principal Analyst in our Dispute Resolution Services team.
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
Education/Experience Requirements:
- Bachelors degree and a minimum of six (6) years of experience in the alternative dispute resolution field; or an equivalent combination of education and experience.
- Law Degree preferred.
- Experience in management of FINRA arbitration cases preferred.
- Experience in designing, developing, and delivering training and development programs.
- Should possess problem solving skills and initiative required to assess situations and resolve problems.
- Advanced working knowledge of relevant FINRA and SEC rules, the DRS Procedures Manual, MATRICS, and the DR Portal.
- 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.
- 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,...
Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
