for the Analyst - Market Regulation, Quality of Markets - Rockville, MD position
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Analyst - Market Regulation, Quality of Markets - Rockville, MD
Rockville - FINRA
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Analyst opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.
The Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable federal securities laws, FINRA and MSRB rules and regulations. This is junior-level professional work in which incumbents are learning their assigned roles, attaining
newly-learned skills, and working under direct supervision.
Position may be filled at various levels depending on experience and job skills of a successful candidate.
Essential Job Functions:
- Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
- Conducts routine reviews and investigations into possible violations of the FINRA/MSRB rules and regulations relating to fixed income markets and/or 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 the Fixed Income markets.
- Develops an understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC/MSRB 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.
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