Hybrid Regulatory Analytics Lead

FINRA; Rockville (MD); Hybrid; USD 112,300 - 202,500; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Job summary

FINRA seeks an experienced analyst to independently conduct complex analyses of firms’ communications, supporting the Associate Director and Senior Director in quality control, training and supervision. The role collaborates with other FINRA departments and regulators, documents analyses, and participates in disciplinary processes as needed.

Responsibilities include on-site reviews, final sign-off of analyses, staff coaching, and timely communication of regulatory information.

Qualifications

• Bachelor’s degree plus 5 years of related industry experience, or equivalent business experience, or successful completion of at least 1 year as an Associate Principal Analyst.
• Demonstrated ability to work independently and in groups; strong analytic and organizational skills.

Responsibilities

• Conduct routine and complex assessments of FINRA firms’ communications.
• Coordinate joint evaluations with other FINRA departments and regulators.
• Document analyses and write correspondence.
• Assist in on-site reviews, examinations, and disciplinary process.
• Assist manager in final sign-off of analyses for accuracy and propriety.
• Provide staff with training, coaching, and feedback.
• Inform manager of new issues affecting policy.
• Contribute to performance appraisals and regulatory communications.
• Respond to questions from team members and external customers.

Skills

Analytical skills

Oral and written communication

Knowledge of securities and broker-dea

Education

Bachelor’s degree

Tools

Microsoft Word

Job description

FINRA seeks an experienced analyst to independently conduct complex analyses of firms’ communications, supporting the Associate Director and Senior Director in quality control, training and supervision. The role collaborates with other FINRA departments and regulators, documents analyses, and participates in disciplinary processes as needed.

Responsibilities include on-site reviews, final sign-off of analyses, staff coaching, and timely communication of regulatory information.