Regulatory Analyst-BATS

FINRA is seeking well qualified individuals for our Regulatory Analyst-BATS opening in Rockville, MD.  To be considered for this position, please submit your resume through our careers site.  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 the 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/Experience Requirements:

Bachelors degree in Finance, Economics, or Business or equivalent work experience demonstrating research/analytical skills.

Grade 43 - Working knowledge of relevant rules and regulations enforced by FINRA and ability to conduct telephone interviews would be helpful.  Working knowledge of securities markets, member firm operations, books and records.  Familiarity with the use of a desktop computer.

Grade 44 - A minimum of one year of related experience.  Knowledge of relevant rules and regulations enforced by FINRA, preferred.  Knowledge of securities markets, member firm operations, books and records.  Ability to conduct telephone interviews.  Ability to initiate and complete quality reviews.  Competence using a desktop computer with the full suite of office software applications.

Grade 45 - A minimum of three years of related experience.  Substantial knowledge of relevant rules and regulations enforced by FINRA, preferred.  Substantial knowledge of securities markets, member firm operations, books and records, preferred.  Ability to conduct telephone interviews.  Ability to initiate and complete quality reviews.  Competence using a desktop computer with the full suite of office software applications.

Grade 46 - A minimum of five years of related experience.  Substantial knowledge of relevant rules and regulations enforced by FINRA.  Substantial knowledge of securities markets, member firm operations, books and records.  Ability to conduct telephone interviews.  Ability to initiate and complete quality reviews.  Competence using a desktop computer with the full suite of office software applications.

Working Conditions:

•        Ability to work under pressure.

•        Attention to detail is essential.

•        Strong verbal and written communication skills and technical capabilities are essential to position.

•        Some travel may be required.

In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement 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.

FINRA is an Equal Opportunity Employer, M/F/D/V

About FINRA:

The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 174,000 branch offices and approximately 677,500 registered securities representatives.  FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 15 District Offices around the country.

Created through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.

In todays fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair, ensuring investor choice and proactively addressing emerging regulatory issues before they harm investors or the markets.

Please refer to job code 2383 when responding to this ad.

Category:	Advertising/Marketing/Public Relations
	> Other Advertising
Location:	Rockville, MD
County:	Montgomery County
ZIP Code:	20847
Pay Rate:	Open
Job Terms:	full time
Company:	FINRA
Phone:	email only please
Fax:	email only please