Analyst, Consolidated Audit Trail Help Desk
Company: Financial Industry Regulatory Authority, Inc.
Location: Rockville
Posted on: August 2, 2022
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Job Description:
The Helpdesk Analyst will work with internal and external
constituents to provide specialized technical support to the
Consolidated Audit Trail ("CAT") Industry Members. The Analyst
applies analytical skills to conduct research and coordinate
processing of requests and issues. This is competent-level
professional work in which incumbents are refining and expanding
skills, and working under supervision and moderate guidance.
Essential Job Functions: Interfaces with industry members,
regulatory users, peers, management and others regarding potential
business and technical issues related to the CAT system Intakes
calls, researches, resolves and documents issues of moderate
complexity Provides excellent internal/external customer service in
specialized area of regulatory responsibility, namely the
Consolidated Audit Trail. Respond to customer requests by providing
functional and navigational support for CAT. Assists firms with
correcting errors in validation and linkage. Confers with senior
Help Desk staff and subject matter experts for guidance on complex
issues as appropriate. Document all incoming customer inquiries
into the CRM system to provide detailed information on the caller,
the caller's firm, and type of data/technical request and
questions. Maintains a proficiency on SEC Rule 613, the CAT NMS
Plan rules and related technical specifications. Participates in
the development and training of junior analysts. Utilizes computer
resources and software applications as necessary to develop
tracking spreadsheets and identifying trends Provide end user
training and advice. Assist with modifying and/or enhancing
existing procedures. Participates in UAT of business requirements.
Education/Experience Requirements: Bachelor's degree in Finance,
Economics, or Business with a minimum of four (4) years of directly
related experience or the equivalent combination of education and
experience. Experience in the financial industry demonstrating
knowledge of regulatory reporting and analytical skills is
preferred. Knowledge of relevant FINRA/SEC rules and regulations
preferred. Knowledge of securities markets, member firm operations,
books and records preferred. Ability to provide exceptional
customer service. Ability to interact with a variety of
stakeholders. Competence using a desktop computer with the full
suite of office software applications. Excellent written and verbal
communication skills required. Working Conditions: Work is normally
performed in an office environment with potential for occasional
travel. #LI-Hybrid 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. 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 Information 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. 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 Representatives Please 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 Employer All 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 , Analyst, Consolidated Audit Trail Help Desk, Professions , Rockville, Maryland
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