Analyst, Info Ops Quality Assurance

This position implements Quality Assurance initiatives for Information Operations. This includes: reviewing and analyzing a sampling of daily work performed by other analysts, maintaining statistical data, and performing root cause and trend analysis under minimal supervision. Incumbent will be required to employ well developed subject-matter expertise and institutional knowledge to ensure critical activities are performed according to documented procedures and guidelines and to meet service level agreements, as appropriate.

Candidate must also possess strong interpersonal and analytical skills.

• 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 ) 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.

• 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…