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Analyst - Market Regulation, Quality of Markets - Rockville, MD

RockvilleFINRA


We Work to Protect Investors. Join our Team.
 
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.
 
Job Summary:
 
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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