The Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable federal securities laws, FINRA and MSRB rules and regulations. This is junior-level professional work in which incumbents are learning their assigned roles, attaining
newly-learned skills, and working under direct supervision.
Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
Conducts routine reviews and investigations into possible violations of the FINRA/MSRB rules and regulations relating to fixed income markets and/or federal securities laws.
Confers with senior staff and subject matter experts for guidance on complex issues.
Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
Through the review/investigative process the Analyst resolves situations that may impact the integrity of the Fixed Income markets.
Develops an understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC/MSRB rules and regulations; performs preventive compliance functions.
Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
Utilizes computer resources and software applications for data analysis pursuant to investigation/review procedures.
Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.
Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
A minimum of one year of directly related experience.
Knowledge of relevant FINRA/SEC/MSRB rules and regulations.
Knowledge of securities markets, member firm operations, books and records.
Ability to conduct telephone interviews.
Ability to initiate and complete quality reviews.
Competence using a desktop computer with the full suite of office software applications.
Ability to work under pressure.
Attention to detail is essential.
Strong verbal and written communication skills and technical capabilities are essential to position.
Some travel may be required.
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.
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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.
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 restrictionsincluding disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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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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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