The Senior Analyst in Testing and Continuing Education, Test Security, is responsible for investigating major policy violations of test takers of FINRA exams; ensuring vendor adherence to FINRA test standards; identifying aberrant candidate behavior; and evaluating success of risk mitigators to ensure the integrity of FINRA’s testing security program.

Essential Job Functions:

Serve as lead over Event Incident Reports (EIR) review process for assigned area. Review videos for major and minor violations of test takers, and document findings. Conduct inquiries, analysis, and investigations in response to evidence. Facilitate weekly panel review of video and evidence for major violations and send candidate misconduct letters. Coordinate with district offices/governing bodies and test delivery vendor as needed.
Manage assigned secret shop vendors and ensure contractual obligations are being met. Review videos and document findings for medium and high secret shops, identify and report on centers with a history of unsatisfactory performance. Investigate escalated negative shops that also appear on data forensics reports.
Track, maintain and report on metrics for secret shops, IP Investigations, copyright, and major and minor EIR violations. Analyze data to identify trends and patterns, to recommend mitigators or additional needed resources.
Manage web crawling vendors and ensure they are meeting contractual obligations. Investigate, analyze and document findings, in collaboration with internal groups.
Identify test centers to audit for the Video Audit Program. Gather and analyze all relevant data to plan and prioritize audits. Review videos and track and report findings, conduct investigations, ensure appropriate follow up occurs, and send candidates misconduct letters for minor and major violations.
Collaborate with internal groups to submit copyright applications for secure tests and CE.

Other Responsibilities:

Train and mentor junior analysts through consistent, constructive monitoring and providing regular feedback.
Assist management in identifying emerging test security issues and trends that warrant FINRA action.

Education/Experience Requirements:

Bachelor’s degree and three (3) or more years of directly related experience in test security, investigations or related field; or an equivalent combination of education and experience.
Strong analytical and interpersonal skills as well as excellent written and verbal and communication skills
Ability to work independently and make decisions, and to maintain a high level of confidentiality regarding sensitive material.
Proficiency of Windows PC environment as well as full suite of office software applications (such as MS Word and Excel).

Working Conditions:

Work is normally performed in an office environment with extended hours when necessary.
Occasional travel may be required.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

California: Minimum of $78,900, Maximum Salary $146,900

Washington, DC/Maryland: Minimum Salary $78,900, Maximum Salary $140,800

Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300

New York, NY: Minimum Salary $82,200, Maximum Salary $146,900

Washington State: Minimum Salary $68,500, Maximum Salary $140,800

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.

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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 application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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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