Analyst, CAT Helpline

Financial Industry Regulatory Authority, Inc.; Rockville (MD); On-site; USD 72,000 - 128,000; Full time

Benefits offered by this job

Health, dental & vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Job summary

FINRA is seeking a Helpline Analyst to provide specialized technical support for the Consolidated Audit Trail (CAT) to internal and external constituents.

The role involves researching and coordinating processing of inquiries, mentoring junior analysts, and documenting interactions in the CRM, with a hybrid work arrangement and potential travel.

Qualifications

• Bachelor's degree in Finance, Economics, or Business with two years of related experience or equivalent combination.
• Experience in the financial industry with regulatory reporting and analytical skills preferred.
• Knowledge of FINRA/SEC rules and regulations; knowledge of securities markets and member firm operations.
• Excellent written and verbal communication skills.
• Ability to interact with Industry Members and SRO/SEC regulatory staff.

Responsibilities

• Interfaces with industry members and regulators regarding CAT system issues.
• Intakes calls, researches, resolves and documents moderately complex issues.
• Provides excellent customer service in the Consolidated Audit Trail domain.
• Responds to requests with functional and navigational CAT support.
• Assists firms with moderately complex questions on validation and linkage error correction.
• Consults with senior staff for guidance on complex issues.
• Documents inquiries in the CRM with caller details and data requests.
• Develops proficiency on SEC Rule 613 and CAT NMS Plan specifications.
• Mentors junior analysts and supports team knowledge.
• Uses tracking spreadsheets and identifies trends.
• Provides end user training and advice.
• Demonstrates FINRA’s values and collaborates with colleagues.

Skills

Customer service

Communication skills

Analytical skills

Stakeholder interaction

Mentoring

Education

Bachelor's degree in Finance/Economics/Business

2+ years related experience

Tools

CRM system

Office software suite

Job description

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail ("CAT") Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is competent-level professional work in which incumbents are refining and expanding skills, and working under supervision and guidance.

Essential Job Functions

• Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system
• Intakes calls, researches, resolves and documents issues of moderate complexity
• Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
• Respond to customer requests by providing functional and navigational support for CAT.
• Assists firms with moderately complex questions regarding validation and linkage error correction.
• Confers with senior Help Desk staff and subject matter experts for guidance on complex issues as appropriate.
• Document all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller’s firm, and type of data/technical request and questions.
• Develops a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
• Mentors junior analysts.
• Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and identifying trends
• Provide end user training and advice.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education / Experience Requirements

Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience. Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred. Knowledge of relevant FINRA/SEC rules and regulations. Knowledge of securities markets, member firm operations, books and records. Excellent customer service skills. Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff. Competence using a desktop computer with the full suite of office software applications. Excellent written and verbal communication skills required.

Working Conditions

Hybrid work environment, with defined in-person presence requirements. Potential for occasional travel. For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.

CO/FL/TX: Minimum Salary $62,800, Maximum Salary $111,400 IL/PA: Minimum Salary $69,500, Maximum Salary $122,500 MA/MD/VA/Washington, DC: Minimum Salary $72,300, Maximum Salary $127,900 NY/NJ: Minimum Salary $72,300, Maximum Salary $133,700 #LI-Hybrid

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time‑off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro‑rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full‑time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full‑time employees receive nine paid holidays. *Based on full‑time schedule

Important Information 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. You can read more about these restrictions here.

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.

FINRA is an Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. 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 Employee Relations team at 240-386-4865 or by email at [e-mail]. Please note that this process is exclusively for inquiries regarding accommodations in the application process. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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