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FINRA · 4 hours ago

Analyst, Info Ops Quality Assurance

Rockville, MD (Job Posting)

Full-time

Hybrid

Mid Level

$71K/yr - $126K/yr

4+ years exp

FINRA is the Financial Industry Regulatory Authority, and they are seeking an Analyst for Info Ops Quality Assurance. This role involves implementing Quality Assurance initiatives for Information Operations, including reviewing and analyzing daily work, maintaining statistical data, and performing root cause and trend analysis to ensure compliance with documented procedures and service level agreements.

FinanceFinancial ServicesNon Profit

Culture & Values

H1B Sponsor Likely

Responsibilities

Perform reviews, track errors and analyze data related to Quality Control (QC) with limited supervision and guidance. Conduct statistical sampling of core activities and perform analyses of results to ensure compliance with documented policies and procedures

Perform QC of key Information Operations functions by reviewing and analyzing information contained in CRD records, EWS, and Active Directory (Empower ID) applications. Utilize applications/databases such as 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, develop reports, identify training issues, and ensure staff is compliant with service level agreements

Review and analyze all documentation and information entered into the FINRA Entitlement Platform by the Entitlement Unit regarding the creation, deletion, and modification of accounts for all applications (e.g., Web CRD, IARD, Regulation Filing Applications, Web EFT, New Member Application, Web IR, FINRA Waiver System, PROCTOR, eFOCUS, Report Center, OATS, SRM/eAnalytics, and NYSE Rule 407A Form) to ensure that no unauthorized access is granted

Perform QC of the data required to process information through the Department of Justice applications and SEC requirements. Conduct QC of Electronic Fingerprint Processing and Name Check results to ensure that demographic information is processed accurately, fingerprint statuses are correctly recorded into applicable systems, and FBI dispositions are accurately uploaded on the CRD System

Compile and maintain statistics and perform root cause and trend analyses of QC data. Meet with QA Manager and other managers, as appropriate, to discuss areas of risk, trends, training needs, and work process inconsistencies. Assist with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors

Periodically review and revise Quality Assurance’s work processes to ensure they are current and are consistent with the Unit’s policies, guidelines, and objectives to help minimize any risk to FINRA. Develop new processes as necessary

Assist in the development of QC for additional areas in Information Operations to ensure proper mitigation strategies are in place to reduce risks within the department

Communicate effectively with other staff and units to provide resolution to issues with clarity, tact and professionalism

Provide training as necessary to other Quality Assurance staff members

Demonstration of FINRA’s values

Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Maintain essential skills by attending classes, training programs, and required staff meetings, which may occur outside of normal business hours

Assist with special projects as assigned by management

Perform other duties required to maintain and promote the effective operation of the Quality Assurance Unit and other units within Information Operations

Qualification

Quality ControlRoot Cause AnalysisStatistical AnalysisData AnalysisMS WordMS ExcelDatabase ProficiencyInterpersonal SkillsOrganizational SkillsVerbal CommunicationWriting Skills

Required

A Bachelor's degree or the equivalent work-related experience required

A minimum of four years relevant experience required in a role that utilized research/analytical skills, quality control, and/or root cause and trend analysis

Strong organizational and interpersonal skills, the ability to multi-task, and attention to detail are essential

Basic writing skills are required, and excellent verbal communications are necessary

Ability to extrapolate data in databases is required, as well as proficiency in Windows PC environment, including MS Word and Excel

Benefits

Comprehensive health, dental and vision insurance

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

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

Adoption assistance

Backup family care

Surrogacy benefits

Employee assistance

Wellness programs

15 days of paid time off

5 personal days

9 sick days

Two volunteer service days

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)

Childbirth and parental leave (available after 90 days of employment)

Nine paid holidays

Company

FINRA

Glassdoor4.0

The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent.

Founded in 2007

Washington, District of Columbia, USA

1001-5000 employees

http://www.finra.org

H1B Sponsorship

FINRA has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (59)

2024 (43)

2023 (35)

2022 (56)

2021 (27)

2020 (37)