The Analyst conducts routine reviews of low to moderate complexity in search of unusual market activity for evidence of violations of applicable federal securities laws and FINRA and/or RSA client rules and regulations. This is junior-level professional work in which incumbents are developing in their assigned roles, enhancing newly-learned skills, and working under moderate supervision.
- Continues enhancement of knowledge of the program assigned: Attending and actively participate in department training; Attend internal and/or external seminars when required; Demonstrate a strong understanding of the investigative process; Demonstrate proficiency in all assigned areas/reviews, procedures, and FINRA and/or RSA client, SEC rules and regulations; Identify, research, and analyze data independently; Conduct lead and/or solo investigations of low to moderate complexity; Properly document and clearly present examination findings; When necessary, assist other analysts in conducting more complex investigations.
- Effectively and efficiently manage the daily workload to ensure tasks are completed within department/management time frames: start, complete, and revise assigned investigations within the established timeframes; Notify supervisor on a timely basis of any circumstanced that may cause material changes to the projected completion dates.
- Utilize computer resources and software applications for data analysis in the investigative/review process: effectively utilize the resources in conducting routine reviews and investigations, an dif necessary, obtain guidance from more senior staff or management; All related activities (time and milestone dates) must be entered accurately, completely and timely in accordance with Department policy.
- Effectively communicate and coordinate with member firms and fellow analysts: Demonstrate effective verbal and written communication skills; Share knowledge of markets with less experienced staff; conduct effective compliance interviews; Prepare and submit well-organized, detailed, and accurate examination reports; Periodically update your manager on investigatory progress; Take initiative and request additional assignments when workload permits; Work with more experienced staff to further enhance knowledge base.
- Bachelor's degree or equivalent work experience demonstrating research/analytical skills.
- Major in Finance, Accounting, Business or related field preferred. At least two (2) years of related experience required.
- Knowledge of securities industry rules, regulations and guidelines preferred. Excellent written and verbal communication skills required.
- Competence using a desktop computer with the full suite of office software applications required.
- Work is normally performed in an office environment.
- Extended hours and overnight travel may be required.
- Ability to work under pressure.
- Attention to detail is essential.
- Strong verbal and written communication skills and technical capabilities are essential to position.
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 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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