Title: Associate Analyst, Market Regulation - Customer Issues - Rockville, MD
Other Locations: null
We Work to Protect Investors. Join our Team.
The Financial Industry
Regulatory Authority (FINRA) is seeking a well-qualified individual for our Associate 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.
Associate Analyst participates in the routine review and investigations of
unusual market activity for evidence of violations of applicable federal
securities laws and FINRA and/or RSA client rules and regulations. This is an entry-level professional work in
which incumbents are being introduced to their assigned roles, learning
job-related skills, and working under close supervision.
+ Assists with analyzing trading
activity in area of primary responsibility for indications of potential
+ Assists with routine reviews and
investigations into possible violations of the FINRA and/or RSA client rules
and 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 Nasdaq
or other markets.
+ Develops a basic understanding of
the investigative techniques utilized in the respective area of primary
responsibility and relevant FINRA/RSA client /SEC 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
+ Interfaces with members, peers,
management and others and provides excellent internal/external customer service
in specialized area of regulatory responsibility.
+ Bachelor's degree in Finance,
Economics, or Business or equivalent work experience in the financial industry
demonstrating research/analytical skills.
+ Working knowledge of relevant
FINRA/SEC rules and regulations and ability to conduct telephone
+ Working knowledge of securities
markets, member firm operations, books and records.
+ Familiarity with the use of a
+ 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.
To be considered for this position, please submit a cover
letter and resume. A writing sample may be required as part of the submission.
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
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.
In addition to a
competitive salary, comprehensive health and welfare benefits, and incentive
compensation, 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.
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.
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.
FINRA is an
independent, non-governmental regulator for all securities firms doing business
with the public in the United States. FINRA works to protect investors and
maintain market integrity in a public-private partnership with the Securities
and Exchange Commission (SEC), while also benefiting from the SEC's oversight.
In its role as investor guardian, FINRA is informed, but not influenced, by the
industry that it regulates. FINRA's independent regulation plays a critical
role in America's financial system-all at no cost to taxpayers.
FINRA touches virtually
every aspect of the securities business-from registering and educating industry
participants to examining securities firms; writing rules; enforcing those
rules and the federal securities laws; informing and educating the investing
public; providing trade reporting and other industry utilities; and
administering the largest dispute resolution forum for investors and registered
firms. FINRA uses technology powerful enough to look across markets and detect
potential abuses. Using a variety of data gathering techniques, we work to
detect insider trading and any strategies firms or individuals use to gain an
In today's fast-paced
and complex global economy, FINRA is a trusted advocate for investors,
dedicated to keeping the markets fair and proactively addressing emerging
regulatory issues before they harm investors or the markets. FINRA operates
from Washington, DC, and New York, NY, with other offices around the country.
Find out more about us
and how we work-and view our current openings-at www.finra.org/careers.
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 is an Equal
Opportunity and Affirmative Action Employer
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.