Senior Analyst: Financial Disclosure & Trading Compliance

FINRA; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) plan with company match

Tuition reimbursement

Job summary

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for ensuring accuracy and timeliness of employee financial disclosures and detecting trading violations. The role develops guidance and training materials and represents ECO at internal engagements, working independently with strict confidentiality.

Hybrid work in Rockville, MD requires seven+ years in securities compliance, expert knowledge of securities/products, and strong

Qualifications

• Bachelor’s degree in Finance or related field and 7+ years in securities-related compliance.
• Expert-level knowledge of securities and options products, transactions, and account types.
• Excellent verbal and written communication skills across all levels of the organization.
• Demonstrated ability to manage multiple deadlines with strong organizational skills.
• Experience with case management or compliance tracking systems is required.

Responsibilities

• Respond to inquiries on financial disclosures and trading restrictions.
• Review disclosures for quality and compliance, addressing incomplete or untimely disclosures.
• Consult with employees and managers on Code policy requirements and hardship waivers.
• Evaluate trading violations and calculate required disgorgements.
• Manage prohibited waivers and monitor liquidation requirements.
• Maintain Prohibited Company List and validate source data.
• Develop written content for Code of Conduct procedures and training materials.
• Conduct roadshow presentations to explain policies to staff.
• Collaborate across departments and with technology partners.
• Participate in development and testing of technology enhancements.

Skills

Securities knowledge and options

Analytical thinking

Verbal and written communication

Microsoft Excel

Power BI

Co-Pilot

Adobe Acrobat

Education

Bachelor’s degree in Finance/Economics/Business

7+ years securities compliance experience

Tools

Power BI

Co-Pilot

Adobe Acrobat

Job description

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for ensuring accuracy and timeliness of employee financial disclosures and detecting trading violations. The role develops guidance and training materials and represents ECO at internal engagements, working independently with strict confidentiality.

Hybrid work in Rockville, MD requires seven+ years in securities compliance, expert knowledge of securities/products, and strong