Regulatory Analyst III

1 month ago

Woodbridge, New Jersey, United States finra Full time
Job Summary

The Regulatory Analyst III conducts routine reviews and investigations of complex market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is a competent-level professional role that requires the application of job skills and work under available supervision.

Key Responsibilities
  • Analyze trading activity for indications of potential violative activity.
  • Conduct routine reviews and investigations into possible violations of FINRA rules and regulations.
  • Compile and organize information from various sources to develop investigations of potential violative activity.
  • Resolve situations that may impact the integrity of Nasdaq or other markets.
  • Demonstrate a thorough understanding of investigative techniques and relevant FINRA/SEC rules and regulations.
  • Present investigative findings to management and other constituents in an organized and concise manner.
  • Utilize computer resources and software applications for high-level data analysis.
  • Interface with members, peers, management, and others to provide excellent internal/external customer service.
Requirements
  • Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry.
  • A minimum of five years of directly related experience.
  • Substantial knowledge of relevant FINRA/SEC rules and regulations.
  • Ability to conduct telephone interviews and initiate and complete quality reviews.
  • Competence using a desktop computer with the full suite of office software applications.
Work Conditions
  • Ability to work under pressure and attention to detail is essential.
  • Strong verbal and written communication skills and technical capabilities are essential.
  • Some travel may be required.
Compensation

FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA. The proposed salary range for the corresponding location is outlined below. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $91,500, Maximum Salary $170,900
CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300
IL*: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900
MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700

*Including positions performed outside the state but reporting to an office or manager in that state.

  • Business Analyst III

    4 weeks ago

    Woodbridge, Connecticut, United States Elevance Health Full time

    About the Role:We are seeking a highly skilled Business Analyst III to join our team at Elevance Health. As a Business Analyst III, you will serve as the liaison between the business and IT, translating complex business needs into application software.Key Responsibilities:Understand the Pharmacy benefit setup and validate the configuration using test...

  • Principal Compliance Specialist

    4 weeks ago

    Woodbridge, Connecticut, United States Financial Industry Regulatory Authority , Inc. Full time

    Job DescriptionThe Principal Compliance Analyst in Transparency Services plays a crucial role in ensuring compliance with regulations, maintaining appropriate policies and procedures, and coordinating with other FINRA departments and external technology providers.Key ResponsibilitiesManage all Reg SCI, FISMA, and FEDRAMP related matters, including...

  • Business Analyst

    3 weeks ago

    Woodbridge, United States Plymouth Rock Assurance Full time

    Business AnalystThe Business Analyst’s primary function is to provide system support to the various business units within the enterprise by means of research, analysis, testing, documentation and training for issues and enhancements related to all systems.The Business Analyst possesses a strong working knowledge of a SDM (System Development Methodology)...

  • Fiscal Expert with Behavioral Health Focus

    4 weeks ago

    Woodbridge, Virginia, United States Prince William County VA Full time

    Key Responsibilities:As a Principal Fiscal Analyst, you will be responsible for providing expert financial guidance to the Behavioral Health team at Prince William County VA. Your duties will include analyzing financial data, developing budgets, and ensuring compliance with financial regulations.Key Skills:Financial analysis and budgetingRegulatory...

  • Associate Principal Examiner, TFCE

    3 months ago

    Woodbridge Township, United States finra Full time

    The Regulatory Analyst III conducts routine review and investigations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and...

  • Inpatient Case Management Manager, RN

    6 months ago

    Woodbridge, United States Sentara Full time

    Job Description : Responsible for managing and coordinating the inpatient care transitions program. This ensures the patient's progression through the care continuum in a manner that achieves designed clinical and financial outcomes. Participates in the system development and implementation of integration of care transitions along the continuum of...

  • Patient Access Rep I

    5 months ago

    Woodbridge, United States Sentara Full time

    City/State Woodbridge, VA Overview Work Shift Third (Nights) (United States of America) Sentara Northern Virginia Medical Center is hiring a Patient Access Rep  - Part-time, night schedule, 12AM to 8:30AM. This position requires every other weekend (Friday, Saturday & Sunday) and rotating holidays. As a  Patient Access Rep or Admitting...

  • AVP, Senior Enterprise Architect

    2 weeks ago

    Woodbridge, United States Provident Bank Full time

    POSITION SUMMARY This role will support the design and implementation of the bank's technology infrastructure, ensuring alignment with business strategies and goals. This role involves collaborating with senior architects and cross-functional teams to optimize systems, integrate new technologies, and maintain architectural consistency across the...

  • VP, Lead Enterprise Architect

    2 weeks ago

    Woodbridge, United States Provident Bank Full time

    POSITION SUMMARY This position is responsible for design, architecture of large-scale enterprise systems and technical and application projects to direct technology systems in support of organizational requirements. This role will also contribute to the development of enterprise architecture frameworks and assist in aligning IT initiatives with long-term...

  • Senior Credit Risk Management Analyst

    6 months ago

    Woodbridge Township, United States Provident Bank Full time

    POSITION SUMMARY This position reports to the Credit Risk Analytics Manager (“CRAM”). The candidate will be primarily responsible for i) preparing the Bank’s Allowance for Credit Losses (“ACL”) under for Current Expected Credit Loss (“CECL”) standard and the Bank’s Commercial Real Estate Stress Test, ii) developing ad-hoc credit...