CAT Regulatory Support Analyst

FINRA; Rockville (MD); Hybrid; USD 72,000 - 128,000; Full time

Job summary

The Helpline Analyst at FINRA provides specialized technical support for the Consolidated Audit Trail (CAT) to industry members and regulatory staff. You will research, document, and resolve moderately complex issues and work under supervision to refine your analytical skills.

You will maintain CRM records, assist with validation questions, and mentor junior analysts while delivering excellent customer service in a regulated environment. A hybrid work arrangement and health benefits are included.

Qualifications

• Bachelor's degree in Finance, Economics, or Business with related experience or equivalent.

Responsibilities

• Interfaces with industry members, regulatory users, peers, management and others regarding CAT issues.
• Intakes calls, researches, resolves and documents issues of moderate complexity.
• Provides excellent internal/external customer service in regulation of CAT.
• Respond to customer requests with CAT navigation support.
• Mentors junior analysts and documents inquiries in the CRM system.

Skills

Customer service

Analytical skills

Communication skills

Regulatory knowledge

Education

Bachelor's degree in Finance, Economics, or Business

Tools

CRM system

Office suite

Job description

The Helpline Analyst at FINRA provides specialized technical support for the Consolidated Audit Trail (CAT) to industry members and regulatory staff. You will research, document, and resolve moderately complex issues and work under supervision to refine your analytical skills.

You will maintain CRM records, assist with validation questions, and mentor junior analysts while delivering excellent customer service in a regulated environment. A hybrid work arrangement and health benefits are included.