Senior Regulatory Analytics Analyst

FINRA; Los Angeles (CA); Hybrid; USD 95,000 - 142,000; Full time

Benefits offered by this job

Discretionary bonus

Job summary

FINRA seeks an Analyst to independently analyze complex FINRA firms’ communications with the public, and assist in quality control, training and supervision across departments.

You will conduct routine and complex assessments, document findings, participate in on-site reviews and disciplinary processes, and communicate regulatory information with clarity; success relies on strong written and verbal skills, knowledge of securities rules, and collaborative, hybrid teamwork.

Qualifications

• Bachelor’s degree plus 5 years of related industry experience, or equivalent business experience.
• Excellent oral and written communication skills.
• Knowledge of securities, broker‑dealer services, and marketing methods.
• In-depth knowledge of FINRA, SEC, MSRB and SIPC rules.
• Competency with desktop computers and Microsoft Word.

Responsibilities

• Conduct routine and complex assessments of FINRA firms’ communications.
• Coordinate joint evaluations with other FINRA departments and regulators.
• Document analyses and write correspondence.
• Assist in on-site reviews, examinations and disciplinary processes.
• Support manager with final sign-off and ensure accuracy of rule applications.
• Provide training and feedback to staff; monitor workflow.
• Communicate regulatory information to team members; answer questions.

Skills

Analytical skills

Oral and written communication

Independent work

Microsoft Word

Knowledge of securities

Education

Bachelor's degree

Equivalent business experience

Tools

Microsoft Word

Job description

FINRA seeks an Analyst to independently analyze complex FINRA firms’ communications with the public, and assist in quality control, training and supervision across departments.

You will conduct routine and complex assessments, document findings, participate in on-site reviews and disciplinary processes, and communicate regulatory information with clarity; success relies on strong written and verbal skills, knowledge of securities rules, and collaborative, hybrid teamwork.