Information Technology 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

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.

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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.
• 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