Associate Analyst, CAT Compliance
Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: February 22, 2021
Job Description:
Associate Analyst, CAT Compliance Rockville, MD (Job Posting)
The Associate Analyst participates in the routine review and
investigations of unusual market activity for evidence of
violations of applicable federal securities laws and FINRA and/or
RSA client rules and regulations. This is an entry-level
professional work in which incumbents are being introduced to their
assigned roles, learning job-related skills, and working under
close supervision.Essential Job Functions:
- Assists with analyzing trading activity in area of primary
responsibility for indications of potential violative
activity.--
- Assists with routine reviews and investigations into possible
violations of the FINRA and/or RSA client rules and 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 Nasdaq or
other markets.--
- Develops a basic understanding of the investigative techniques
utilized in the respective area of primary responsibility and
relevant FINRA/RSA client /SEC 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.Education/Experience
Requirements:
- Bachelor's degree in Finance, Economics, or Business or
equivalent work experience in the financial industry demonstrating
research/analytical skills.--
- Working knowledge of relevant FINRA/SEC rules and regulations
and ability to conduct telephone interviews.--
- Working knowledge of securities markets, member firm
operations, books and records.--
- Familiarity with the use of a desktop.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 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 www.finra.org/careers
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.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.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 here .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. FINRA is an
independent, non-governmental regulator for all securities firms
doing business with the public in the United States. FINRA works to
protect investors and maintain market integrity in a public-private
partnership with the Securities and Exchange Commission (SEC),
while also benefiting from the SEC's oversight. In its role as
investor guardian, FINRA is informed, but not influenced, by the
industry that it regulates. FINRA's independent regulation plays a
critical role in America's financial system-all at no cost to
taxpayers. FINRA 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. FINRA uses technology powerful
enough to look across markets and detect potential abuses. Using a
variety of data gathering techniques, we work to detect insider
trading and any strategies firms or individuals use to gain an
unfair advantage. 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. FINRA operates from
Washington, DC, and New York, NY, with other offices around the
country. Find out more about us and how we work-and view our
current openings-at www.finra.org/careers.
Keywords: Financial Industry Regulatory Authority, Inc., Rockville , Associate Analyst, CAT Compliance, Professions , Rockville, Maryland
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