Associate Principal Analyst, Ombudsman at FINRA in Rockville, Maryland

Job Description:

To perform the Ombudsman function in an independent, neutral and confidential manner by receiving and addressing complaints from internal or external sources, conducting reviews of those complaints and recommending corrective actions when warranted.

Essential Job Functions:

• Plan and conduct reviews of moderately complex complaints reported to or referred to the Ombudsman’s Office, determine an appropriate resolution


• Prepare well-organized, detailed and accurate case synopses and capture in the department’s case management system


• Effectively and efficiently manage daily workload to ensure the responsibilities are completed timely and within department’s guidelines


• Monitor and review complaint outcomes assigned to other departments to ensure resolution and compliance with appropriate rules, policies, and procedures


• Guide and coach individuals to engage directly with FINRA departments to address concerns, including the use of formal resolution resources within the organization


• Consult with the Ombudsperson or Director on problematic issues, patterns, and trends


• Assist in identifying patterns and systemic issues that may need to be addressed by senior management


• Participate in the development of responsive suggestions to cure problematic patterns or trends


• Maintain strict confidentiality and neutrality and strictly adheres to the Office’s Standards of Practice


• Adhere to International Ombudsman Association Code of Ethics and Standards of Practice

Education/Experience Requirements:

• Bachelor’s Degree in Business or Finance or equivalent work experience


• Minimum of 5 years securities industry experience


• Demonstrated ability to work independently with minimal supervision


• Ability to multitask and manage multiple projects


• Strong critical thinking, research, and analytical skills


• Excellent oral and written communications skills


• Competence using a desktop computer with the full suite of office software applications


• Alternative dispute resolution or mediation experience a plus

Working Conditions:

• Normal office environment


• Extended hours and travel may be required

To be considered for this position, please submit an application.

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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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

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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