Analyst, Office of the Ombudsman, Rockville,MD at FINRA

Analyst, Office of the Ombudsman, Rockville,MD, MD

About the Job

Analyst, Office of the Ombudsman, Rockville,MD(Job Number: 005890)
We Work to Protect Investors. Join our Team.
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Analyst,  Office of the Ombudsman opening in Rockville, MD. To be considered for this position, please submit your resume through our career site– no phone calls, please.
Job Summary:
The Ombudsman’s Office (OO) is a neutral and confidential resource for member firms and their employees, public investors, and any other business or individual who interacts with FINRA to voice their concerns about operations, enforcement, or other FINRA activities or staff. The Analyst is responsible for conducting analyses of information related to cases received by the Office of the Ombudsman to identify patterns, trends, and problematic issues.  This is professional position, developing and refining skills and  receives moderate supervision and regular direction from a manager.

 Position may befilled at various levelsdepending on experience and job skills of a successful candidate.

Essential Job Functions:
  • Maintains strict confidence and neutrality while performing duties and responsibilities and strictly adheres to the OO’s Standards of Practice. 
  • Conducts comprehensive collection and reviews of Ombudsman case information to determine significant patterns, trends, and areas that may require additional focus by Ombudsman case managers. Includes conducting reviews to ensure the integrity of the data in the case tracking system. 
  • Receives and manages inquiries from FINRA constituents to determine the appropriate referral department or resolution and captures detailed records of inquiries in the department’s case tracking and reporting system. 
  • Conducts research for Ombudsman case managers regarding low to moderately complex cases.
  •  Prepares regular and ad-hoc reports that identify trends, risks, recommendations, and  ongoing work status. 
  • Assists in researching and developing recommendations on areas of responsibility where other departments’ policies, procedures, and practices should be created or improved.
  • Develops case documentation guidelines and the development/maintenance of a knowledge management (FAQs, topical dictionary) tool. 
  • Acts as a point of contact in the development of the Ombudsman Office Case Tracking and Reporting System, a system used to track all inquiries and complaints received by the Office, including complaint details, progress notes, report of findings, and resolution summaries.
  • Acts as the lead in testing of system requirements and in system maintenance. Also assists in developing the system’s statistical, pattern/trend, and executive management reports.
 Other Responsibilities:
  • Works with the Ombudsman team on the development and documentation of departmental processes and procedures that guide the ongoing activities of the Office.
  • Ensure all records are retained in accordance with FINRA and the office’s Information Privacy and Protection Policy and Record Retention Requirements.
  • Special Projects as assigned.
Education/Experience Requirements:
  • 1 - 3 years of securities, compliance or financial regulatory experience.
  • Working knowledge of relevant rules and regulations enforced by FINRA.
  • Ability to  program in Microsoft Excel and Microsoft Access.
  • Competence using a desktop computer with the full suite of office software applications.
  • Experience  in conducting statistical and qualitative analysis.
  • Excellent written and verbal communication skills, including interactions with both internal and external constituents.
  • Demonstrated problem resolution skills.
  • Strong organizational skills and excellent detail orientation are essential.
  Working Conditions:
  • Professional office environment
  • Up to 25% travel may be required.
  • Extended hours when necessary.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, your browser to reach our site directly.


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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.


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’sinvestment 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.


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.



FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work—and view our current openings—at


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.


©2017 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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