Senior Analyst, Financial Disclosure & Trading Compliance

Financial Industry Regulatory Authority, Inc.; Maryland; Hybrid; USD 112,000 - 203,000; Full time

Benefits offered by this job

Health insurance

401(k) plan with company match

Paid time off

Volunteer service days

Job summary

The Principal Analyst for Financial Disclosure & Trading at FINRA in Rockville, MD is an experienced contributor who ensures accuracy and timeliness of employee disclosures and enforces trading restrictions. The role involves advising employees and managers, documenting consultations, and developing policy content for Code of Conduct materials and training.

This position requires seven years of securities compliance experience, expert knowledge of broker-dealer operations, and strong

Qualifications

• Bachelor’s degree in Finance, Economics, Business, or related field with at least seven years in securities-related compliance.
• Expert-level knowledge of securities and options products, transactions, and account types.
• Excellent verbal and written communication skills; ability to interact with staff at all levels.
• Ability to manage multiple deadlines with strong organizational skills and attention to detail.
• Experience with Microsoft Excel, Word, Power BI, and case management systems is preferred.

Responsibilities

• Respond to inquiries from employees and managers regarding disclosures and trading restrictions.
• Review disclosures for quality and compliance; address gaps and escalate systemic issues with recommendations.
• Advise on Code policy requirements, trading restrictions, and hardship waiver eligibility; document consultations.
• Evaluate trading violations, calculate disgorgements, and recommend resolutions within criteria.
• Maintain Prohibited Company List and collaborate with technology partners on data quality.
• Develop written content for policies and training materials; conduct Code of Conduct roadshows.

Skills

Securities knowledge

Excel

Word

Power BI

Microsoft Office Suite

Adobe Acrobat

Co-Pilot

Communication

Analytical thinking

Case management systems

Education

Bachelor’s degree in Finance, Economics, Business, or related field

Tools

Power BI

Co-Pilot

Adobe Acrobat

Microsoft Office Suite

Case management systems

Job description

The Principal Analyst for Financial Disclosure & Trading at FINRA in Rockville, MD is an experienced contributor who ensures accuracy and timeliness of employee disclosures and enforces trading restrictions. The role involves advising employees and managers, documenting consultations, and developing policy content for Code of Conduct materials and training.

This position requires seven years of securities compliance experience, expert knowledge of broker-dealer operations, and strong