Regulatory Analytics Specialist

Jobtailor; California (MO); On-site; USD 85,000 - 125,000; Full time

Job summary

Jobtailor is seeking an experienced Associate Analyst to conduct routine and complex assessments of FINRA firms’ communications, coordinate with regulatory agencies, and document analyses.

The role involves on-site reviews, assisting in disciplinary processes, providing training, and ensuring accurate rule applications while upholding investor protection.

Strong communication, deep FINRA/SEC/MSRB/SIPC knowledge, and the ability to work independently or with teams are essential.

Qualifications

• Bachelor's degree required; 5 years of related industry experience or equivalent business experience; or successful completion of at least 1 year as an Associate Principal Analyst.

Responsibilities

• Conduct routine and complex assessments and analyses of FINRA firms’ communications.
• Coordinate joint evaluations with other FINRA departments and regulatory agencies.
• Document analyses and write correspondence.
• Participate in on-site reviews and examinations.
• Assist in all aspects of the disciplinary process.
• Assist the immediate manager with final sign-off of analyses for rule application accuracy and dispositions.
• Provide staff training, coaching, advice, and performance feedback.
• Monitor workflow and task completion.
• Inform the immediate manager of new issues and practices that may lead to policy changes.
• Provide input on team member performance appraisals.
• Communicate regulatory and administrative information to the team.
• Answer questions from team members and external customers, including FINRA employees and firms.
• Collaborate in person and virtually to protect investors and uphold market integrity.
• Assist with special projects involving new rules or interpretations, planning, or administrative modifications.
• Represent the Department, including speaking engagements at regulatory policy conferences and meetings.
• Complete other job-related special projects as necessary

Skills

Analytical skills

Oral and written communication

Independent work

Group collaboration

Coaching and training

Regulatory compliance

Document writing

Performance feedback

Workflow monitoring

Securities knowledge

Broker-dealer services knowledge

Education

Bachelor's degree

Tools

Microsoft Word

Desktop computers

Job description

Jobtailor is seeking an experienced Associate Analyst to conduct routine and complex assessments of FINRA firms’ communications, coordinate with regulatory agencies, and document analyses.

The role involves on-site reviews, assisting in disciplinary processes, providing training, and ensuring accurate rule applications while upholding investor protection.

Strong communication, deep FINRA/SEC/MSRB/SIPC knowledge, and the ability to work independently or with teams are essential.