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Senior Corporate Actions Analyst, Transparency Services

Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: November 18, 2022

Job Description:

The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of Corporate Actions.This is junior-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under limited supervision.Essential Job Functions:

  • Performs investigative research and analysis on corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies.
  • Utilizes computer resources and software applications for managing and tracking cases.
  • Responds to inquiries from Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors
  • Contributes to the development and enhancement of section policies and procedures
  • Provides advice, guidance, and instruction to entry-level Analysts
  • Recommends subsequent course of action to be taken to management
  • Maintains the relevant databases that support the operation of the marketplace.
  • Maintains cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe.
  • Confers with senior staff and management for guidance in other areas of the association for guidance on highly complex issues.
  • Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed---Education/Experience Requirements:
    • Bachelor's degree or equivalent in finance, law, business, economics or equivalent discipline.
    • A minimum of three years related industry experience in a regulatory or financial markets environment is a plus.
    • A general understanding of relevant FINRA/SEC rules and regulations is a plus
    • Experience with SEC filings and equivalent state filings is a plus
    • Competence using a desktop computer with the full suite of office software applications
    • Solid communication skills and excellent internal/external interpersonal skills
    • Ability to work under pressure.
    • Ability to analyze data and information, detect patterns and attention to detail is essential
    • Ability to handle multiple projects/assignments simultaneously with competing priorities
    • AML or OFAC investigative experience is a strong plus.Work Conditions:
      • Work is normally performed on-line with the ability to occasionally work from our Rockville, MD office
      • Rotating work schedule requiring ability to work both early and late schedule.
      • Occasional travel may be required.
      • Extended hours may be required.The salary rate for this position if the work is performed in New York, New York is a minimum of $77,100 annually to a maximum of $137,800 annually; actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of -experience, education, and internal peer compensation comparisons.#LI-HybridTo be considered for this position, please submit an application. 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, enter 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 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.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 InformationFINRA'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.You can read more about these restrictions .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.Search Firm RepresentativesPlease 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 EmployerAll 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.FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.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. -2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Keywords: Financial Industry Regulatory Authority, Inc., Rockville , Senior Corporate Actions Analyst, Transparency Services, Accounting, Auditing , Rockville, Maryland

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