Senior Analyst, Financial Disclosure & Trading Compliance

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 112.000 - 203.000; Vollzeit

Zusammenfassung

FINRA is seeking a Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office. The role focuses on accuracy of disclosures, detection of trading violations, and preparing guidance for Code of Conduct materials and training.

This senior individual contributor works independently, maintains confidentiality, and represents ECO at internal engagements. Hybrid work with travel may be required; interaction with employees at all levels is essential.

Qualifikationen

• Bachelor’s degree in Finance, Economics, Business, or related field and seven years of securities‑related compliance experience.
• Expert‑level knowledge of securities and options products, transactions, and account types.
• Excellent verbal and written communication skills are required.
• Experience with case management or compliance tracking systems is required.
• Proficiency in Microsoft Excel and Word is required.
• Experience with Power BI and Co‑Pilot is preferred.
• Ability to work independently and collaboratively across departments and with technology partners is required.
• Ethics and Compliance certification from a recognized industry association is preferred.
• Experience working within case management or compliance tracking systems is required.

Aufgaben

• Responds to inquiries from employees and managers regarding disclosures and trading restrictions.
• Reviews employee disclosures for quality and compliance issues.
• Escalates incomplete disclosures and recommends systemic improvements.
• Consults on Code policy requirements and hardship waiver eligibility.
• Documents consultations in the case management system.
• Evaluates trading violations and recommends resolutions within established criteria.
• Maintains the Prohibited Company List (PCL) and ensures data accuracy.
• Collaborates with FINRA departments and technology partners to validate data.
• Develops written content for Code procedures, guidance, and training materials.
• Conducts Code of Conduct roadshows to help staff avoid missteps.
• Demonstrates FINRA’s values.
• Travels and participates in hybrid work as needed.

Kenntnisse

Analytical thinking

Communication skills

Independent work

Attention to detail

Team collaboration

Ausbildung

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

7+ years of securities‑related compliance experience

Tools

Microsoft Excel

Power BI

Microsoft Word

Adobe Acrobat

Co-Pilot

Jobbeschreibung

FINRA is seeking a Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office. The role focuses on accuracy of disclosures, detection of trading violations, and preparing guidance for Code of Conduct materials and training.

This senior individual contributor works independently, maintains confidentiality, and represents ECO at internal engagements. Hybrid work with travel may be required; interaction with employees at all levels is essential.