Associate Principal Analyst, Treasuries Manipulation
Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: February 22, 2021
Job Description:
Associate Principal Analyst, Treasuries Manipulation Rockville,
MD (Job Posting) The Associate Principal Analyst conducts routine
reviews of moderate to high 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
and assists senior staff on more complex assignments. This is
advanced-level professional work in which incumbents are expanding
skills and working under moderate guidance and minimal
supervision.Essential Job Functions:
- Demonstrate superior knowledge of the preventive compliance
program: Attend and actively participate in department training;
Attend internal and/or external seminars when required; Demonstrate
a complete understanding of the investigative process; Display and
apply advanced knowledge of markets and rules in routine reviews
and investigations; conduct moderate to high complexity
investigations and regulatory reviews, working under minimal
supervision and moderate guidance; Independently research issues
and analyze data; Thoroughly document and clearly present
examination findings; Assist and train others in conducting routine
reviews; Submit high quality work product, requiring only minimal
corrections.
- Effectively and efficiently manage the daily workload to ensure
tasks are completed within department/ management time frames:
Exhibit consistently high productivity levels, frequently under
tight deadlines; Start, complete, and revise assigned
investigations within the established timeframes; Notify supervisor
on a timely basis of any circumstances that may cause material
changes to the projected completion dates.
- Utilize computer resources and software applications for data
analysis in the investigative/review process: Display advanced
knowledge of available Market Regulation technology resources.
Effectively utilize these resources in documenting routine reviews
and investigations; 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 comprehensive compliance interviews;
Exercise initiative and address difficult situations more
independently; Source of the findings must be researched and
thoroughly investigated, and must be communicated to the supervisor
on a timely, ongoing basis; Prepare and submit well-organized,
detailed, and accurate investigative reports; Present investigative
findings (orally and in writing) to management, and other
constituents in an organized, concise and timely fashion; Suggest
recommendations as to the disposition of reviews; Request
additional assignments when workload permits; Discover areas of the
assigned program requiring further development and/or improvement
and assist in implementing solutions.
- Mentor and train junior level examiners: Take an active role in
mentoring and development of assigned trainees; Provide guidance to
less experienced staff and others on complex issues; Review the
work of trainee prior to the exit conference and exam submission
for supervisory review; Provide timely, meaningful feedback to
examiner and supervisor on exam progress and trainee's development;
identify subject areas where additional individual and/or
office-wide training is necessary and communicate such needs to
supervisor on a timely basis; Prepare and conduct presentations of
review area(s) as required; Share 'case' experiences during
training sessions as appropriate.
- Participate in special projects: When requested, conduct
supervisory review of investigations/sweeps with minimal
corrections.; During supervisory reviews, provide feedback to
examiners and management on examiner performance and exam results
(including modifications); conduct special projects or other
assignments with minimal corrections in accordance with project
goals, objectives, policies and procedures; All project work must
be started, completed and revised, as necessary within the
established timeframes.Education/Experience Requirements:
- Bachelor's degree or equivalent work experience demonstrating
research/analytical skills.
- Major in Finance, Accounting, Business or related field
preferred.
- At least six (6) 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 Conditions:
- 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 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 Principal Analyst, Treasuries Manipulation, Professions , Rockville, Maryland
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