Analyst, Cat Helpline

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is competent-level professional work in which incumbents are refining and expanding skills, and working under supervision and guidance.

Essential Job Functions:

- Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system
- Intakes calls, researches, resolves and documents issues of moderate complexity
- Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
- Respond to customer requests by providing functional and navigational support for CAT.
- Assists firms with moderately complex questions regarding validation and linkage error correction.
- Document all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller’s firm, and type of data/technical request and questions.
- Develops a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
- Mentors junior analysts.
- Provide end user training and advice.

Education/Experience Requirements:

- Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience.
- Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred.
- Knowledge of relevant FINRA/SEC rules and regulations.
- Knowledge of securities markets, member firm operations, books and records.
- Excellent customer service skills.
- Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff.
- Excellent written and verbal communication skills required.

Working Conditions:

- Work is normally performed in an office environment with potential for occasional travel.

California: Minimum Salary $68,400, Maximum Salary $126,600

Washington, DC: 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-Hybrid
- 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 and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
- Based on full-time schedule

Important Information

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
- FINRA is an Equal Opportunity and Affirmative Action Employer_

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