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The Analyst in Testing and Continuing Education, Test Security, is responsible for reviewing Event Incident Reports for minor policy violations, analyze secret shops; gathering, organizing, and reporting relevant test security metrics, as well as investigate intellectual property (IP) infringement cases and assist with submission of copyright applications to support the integrity of CRED’s testing security program.

Essential Job Functions:
  • Review Event Incident Reports (EIR) for minor policy violations and independently execute candidate misconduct letters, when necessary, and escalate major violations.
  • Analyze negative secret shops that appear on data forensics reports and escalate for further investigation. Review videos and documentation of findings for low and medium secret shops
  • Contribute to data reporting by providing status updates and data/metrics on minor EIR violations.
  • Independently investigate findings of FINRA exam content on the internet by researching information provided by third-party vendors, analyze and document findings, and work with appropriate internal groups to verify content and level of exposure.
  • Assist with data forensics by analyzing report findings and reviewing video of suspicious test sessions, escalate any major incidents for further investigation and independently execute candidate misconduct letters when necessary.
  • Review videos and document findings for the video audit program, decide when to send candidate misconduct letters for minor violations and escalate major fails and violations for further investigation.
  • Collaborate with internal groups to submit copyright applications for Continuing Education (CE)

Other Responsibilities:
  • Additional responsibilities as needed.

Education/Experience Requirements:
  • Bachelor’s degree and one (1) or more years of directly related experience in test security, investigations or related field; or an equivalent combination of education and experience.
  • Well-developed interpersonal skills; excellent verbal and written communication skills
  • Research and analytical skills
  • Demonstrated organizational skills and the ability to multi-task
  • Attention to detail
  • 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)

Work Conditions:
  • Work is performed in an office environment
  • Occasional travel may be required. Extended hours may be required

  • Frequent use of the telephone, PC, and other systems/software applications


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

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.

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.

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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.

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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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