Hybrid CAT Systems & Regulatory Tech Analyst

FINRA CAT; Rockville (MD); Hybrid; USD 63,000 - 134,000; Full time

Job summary

FINRA CAT is seeking a Helpline Analyst to provide specialized technical support for the Consolidated Audit Trail (CAT) to industry members and regulatory users. You will research, document, and resolve moderately complex issues while coordinating with senior staff and SMEs for guidance.

The role emphasizes customer service, regulatory knowledge, and the ability to mentor junior analysts in a hybrid work environment with potential travel.

Qualifications

• Bachelor's degree in Finance, Economics, or Business with at least 2 years of related experience.
• Knowledge of relevant FINRA/SEC rules and regulations.
• Knowledge of securities markets and member firm operations.
• Excellent written and verbal communication skills.

Responsibilities

• Interfaces with industry members, regulatory users, peers and management regarding CAT issues.
• Intakes calls, researches, resolves and documents moderately complex issues.
• Provides excellent internal/external customer service in regulatory area (CAT).
• Responds to customer requests by providing functional and navigational support for CAT.
• Assists firms with moderately complex questions regarding validation and linkage error correction.
• Mentors junior analysts.
• Documents inquiries in CRM with caller and firm details.

Skills

Analytical skills

Customer service

Education

Bachelor's degree in Finance, Economics, or Business

Job description

FINRA CAT is seeking a Helpline Analyst to provide specialized technical support for the Consolidated Audit Trail (CAT) to industry members and regulatory users. You will research, document, and resolve moderately complex issues while coordinating with senior staff and SMEs for guidance.

The role emphasizes customer service, regulatory knowledge, and the ability to mentor junior analysts in a hybrid work environment with potential travel.