Regulatory Analyst - Market Regulation, Trading Practices - Rockville, MD Job Listing at FINRA in Rockville, MD (Job ID 001929)

FINRA

FINRA

Location: Rockville, MD
Application deadline: None
Type: Not specified
Career Level: Entry Level
Salary Range: Not specified
Number of Jobs: 1
Relocation Available: No
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Industries
Finance
Description
We Work to Protect Investors. Join
our Team.
 
FINRA is seeking a well-qualified individual for our Regulatory
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 Regulatory Analyst conducts routine review and investigations
of unusual market activity for evidence of violations of relevant
rules and regulations enforced by FINRA.
 
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 relevant rules and regulations enforced by
    FINRA.  

  • 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 thorough understanding of the investigative
    techniques utilized in the respective area of primary
    responsibility and relevant rules and regulations enforced by
    FINRA; 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/ExperienceRequirements:
Bachelor's degree in Finance, Economics, or Business or equivalentwork experience in the financial industry demonstratingresearch/analytical skills.
 
43 - Working knowledge of relevant rules and regulations enforcedby FINRA and ability to conduct telephone interviews.  Workingknowledge of securities markets, member firm operations, books andrecords.  Familiarity with the use of a desktop computer.
 
44 - A minimum of one year of directly related experience. Knowledge of relevant rules and regulations enforced byFINRA.  Knowledge of securities markets, member firmoperations, books and records.  Ability to conduct telephoneinterviews.  Ability to initiate and complete qualityreviews.   Competence using a desktop computer with thefull suite of office software applications.
 
45 - A minimum of three years of directly related experience. Substantial knowledge of relevant rules and regulations enforced byFINRA.  Substantial knowledge of securities markets, memberfirm  operations, books and records.  Ability to conducttelephone interviews.  Ability to initiate and completequality reviews.  Competence using a desktop computer with thefull suite of office software  applications.
 
46 - A minimum of five years of directly related experience. Substantial knowledge of relevant rules and regulations enforced byFINRA.  Substantial knowledge of securities markets, memberfirm operations, books and records.  Ability to conducttelephone interviews.  Ability to initiate and completequality reviews.  Competence using a desktop computer with thefull suite of office software applications.
 
Working Conditions:
Ability to work under pressure.  Attention to detail isessential.  Strong verbal and written communication skills andtechnical capabilities are essential to position.  Some travelmay be required.
 
To be considered for thisposition, please submit a cover letter and resume.  A writingsample may be required as part of thesubmission.
 
The information provided above has been designed to indicatethe general nature and level of work of the position. It is not acomprehensive inventory of all duties, responsibilities andqualifications required.
 
Please note: If the "Apply Now" button on a job board postingdoes not take you directly to the FINRA Careers site, enterwww.finra.org/careers into your browser to reach our site directly.
 
FINRA strives to make our career site accessible to all users. Ifyou need a disability-related accommodation for completing theapplication process, please contact FINRA's accommodation help lineat (240) 386-4865. Please note that this number is exclusively forinquiries regarding application accommodations.
 
In addition to a competitive salary, comprehensive health andwelfare benefits, and incentive compensation, FINRA offersimmediate participation and vesting in a 401(k) plan with companymatch. You will also be eligible for participation in an additionalFINRA-funded retirement contribution, our tuition reimbursementprogram and many other benefits. If you would like to contribute toour important mission and work collegially in a professionalorganization that values intelligence, integrity and initiative,consider a career with FINRA.
 
Please note: FINRA's Code of Conduct imposes restrictions on employees' investmentsand requires financial disclosures that are uniquely related to ourrole as a securities regulator. As standard practice, employeesmust also complete FINRA's Employee Confidentiality and InventionAssignment Agreement and comply with the company's policy onnepotism.
 
 
About FINRA
 
The Financial Industry Regulatory Authority (FINRA) is the largestindependent regulator for all securities firms doing business inthe United States. FINRA's mission is to protect America'sinvestors by making sure the securities industry operates fairlyand honestly. All told, FINRA oversees nearly 4,600 brokeragefirms, about 164,000 branch offices and approximately 632,000registered securities representatives.
 
FINRA's independent regulation plays a critical role in America'sfinancial system and touches virtually every aspect of thesecurities business-from registering and educating industryparticipants to examining securities firms; writing rules;enforcing those rules and the federal securities laws; informingand educating the investing public; providing trade reporting andother industry utilities; and administering the largest disputeresolution forum for investors and registered firms. We alsoperform market regulation under contract for the major U.S. stockmarkets, including the New York Stock Exchange, NYSE Arca, NYSEAmex, The NASDAQ Stock Market and the International SecuritiesExchange.
 
FINRA has approximately 3,000 employees and operates fromWashington, DC, and New York, NY, with 20 regional offices aroundthe country.
 
In today's fast-paced and complex global economy, FINRA is atrusted advocate for investors, dedicated to keeping the marketsfair and proactively addressing emerging regulatory issues beforethey harm investors or the markets.
 
Find out more about us and how we work-and view our currentopenings-at www.finra.org/careers.
 
 
Search FirmRepresentatives
 
Please be advised that FINRA is not seeking assistance or acceptingunsolicited resumes from search firms for this employmentopportunity. Regardless of past practice, a valid written agreementand task order must be in place before any resumes are submitted toFINRA. All resumes submitted by search firms to any employee atFINRA without a valid written agreement and task order in placewill be deemed the sole property of FINRA and no fee will be paidin the event that person is hired by FINRA.
 
 
FINRA is an Equal Opportunity and Affirmative ActionEmployer
 
©2012 FINRA. All rights reserved. FINRA is a registered trademarkof the Financial Industry Regulatory Authority, Inc.

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