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Senior Analyst
Financial Industry Regulatory Authority (FINRA)
Rockville, MD, United States
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Description
Job Summary:
The Senior Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA.
Position may be
filled at various levels depending on experience and job skills of a successful candidate.
Essential Job Functions:
• Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
• Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA.
• 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 NASDAQ or other markets.
• Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA.
• 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.
Qualifications
Education/Experience Requirements:
• Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
• A minimum of three to five years of directly related experience.
• Substantial knowledge of relevant rules and regulations enforced by FINRA.
• Substantial 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.
Working Conditions:
• 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.