Regulatory Analyst - Market Regulation, Customer Issues - Rockville, MD

Regulatory Analyst - Market Regulation, Customer Issues - Rockville, MD

Title: Regulatory Analyst - Market Regulation, Customer Issues - Rockville, MD
Location: null
Other Locations: null
We Work to Protect Investors. Join our Team.

FINRA is seeking a well qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position, please submit your resume through our careers site. No phone calls please.

Job Summary:
The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA.

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 the 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.
Education/Experience Requirements:
Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.

43 - Working knowledge of relevant rules and regulations enforced by FINRA and ability to conduct telephone interviews. Working knowledge of securities markets, member firm operations, books and records. Familiarity with the use of a desktop computer.

44 - A minimum of one year of directly related experience. Knowledge of relevant rules and regulations enforced by FINRA. 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.

45 - A minimum of three 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.

46 - A minimum of 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.


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, into 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 . 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.

Please note: FINRA'sCode of Conductimposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and 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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

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.

Find out more about us and how we work-and view our current />

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

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