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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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