Analyst, Regulatory Review
3 weeks ago
This position will review a caseload, as trained and assigned, of specific RR&D functions. The Analyst is learning his/her assigned functions and performing essential functions with increasing independent analysis, judgment, and discretion. Case assignments are more basic working towards more complex.
- Research, review, analyze and process uniform form filings U4, U5, U6, BD, BDW and CHRI to ensure compliance with Web CRD filing requirements, as well as FINRA, SRO, and SEC rules, regulations and statutes. Identify and/or remove individual/firm filing deficiencies with appropriate constituents via Web CRD or other appropriate communication vehicles.
- Review, identify and analyze disciplinary actions taken against individuals and organizations by FINRA, the SEC and other Federal, State and other SRO’s, as well as FINRA Arbitration Statements of Claims and Awards to determine if they meet uniform form reporting requirements. If so, summarize as appropriate and create Form U6 filing and submit to Web CRD. Determine applicable sanction effective dates and notify respondents and their firms of the sanction dates and regulatory requirements.
- Draft summaries for inclusion in the monthly Disciplinary and Other FINRA Actions Regulatory Notice publication ensuring completeness and accuracy of all summarized disciplinary matters.
- Research, review and handle organization name reservations.
- Assist firms and other regulators with Mass Transfer requirements/process. Schedule, process, and execute Mass Transfers.
- Research and respond to correspondence and/or Tier II telephone inquiries from FINRA firms, other FINRA departments, regulators and/or other constituents regarding CRD filing requirements, registration related FINRA rules and regulations, and other related matters. Escalate calls to appropriate persons as needed.
- Report and escalate, with recommendations for handling, outstanding issues to Senior Analysts, Associate Principal Analysts, and/or RR&D management.
- Analysts are able to complete a fair workload across multiple functions and are expected to meet and/or exceed the established goals in performing RR&D reviews at the end of the training period. Analysts also contribute towards RR&D ad-hoc reports or projects, work well with others, model leadership skills when appropriate and continue to learn new functions or skills as needed.
Other Responsibilities:
- Uses basic statistical and quantitative techniques to analyze data researched.
- Assists in reviewing, documenting, developing, enhancing, and supporting RR&D systems and processes.
- Assists in the testing and recommendation of technologies to improve RR&D systems and process efficiencies.
- Maintain essential skills by attending training programs and participation in required meetings.
- Perform other duties required to maintain the effective operation of the RR&D Units, CRED and FINRA.
Education & Experience Requirements:
- Bachelor’s degree with a legal and/or business concentration and a minimum of one (1) year of related industry work experience; or an equivalent combination of education and experience.
- Well-developed interpersonal skills; excellent verbal and written communication skills.
- Research and analytical skills.
- Demonstrated organizational skills and the ability to multitask; Attention to detail.
- Proficiency of Windows PC environment as well as MS Office; working knowledge of LexisNexis preferred.
Working Conditions:
- Work in an open office environment.
- Evening and weekend work occasionally required.
California: Minimum Salary $68,400, Maximum Salary $126,600
Washington, DC/Maryland: Minimum Salary $68,400, Maximum Salary $121,200
Colorado/Hawaii: Minimum Salary $59,500, Maximum Salary $105,500
New York, NY: Minimum Salary $71,400, Maximum Salary $126,600
Washington State: Minimum Salary $59,500, Maximum Salary $121,200
LI-DNI
- The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required._
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short
- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days a
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