Principal Examiner, Regulatory Analysis
2 months ago
The Regulatory Analyst III conducts routine review 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 in which incumbents apply their job skills and work under available supervision.
Key Responsibilities- Market Activity Analysis
- Routinely analyzes trading activity in the area of primary responsibility for indications of potential violative activity.
- Investigations and Reviews
- Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws.
- Information Compilation
- Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
- Resolution and Presentation
- Through the review/investigative process, the Analyst resolves situations that may impact the integrity of Nasdaq or other markets.
- Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise, and timely fashion.
- Technical Skills
- Demonstrates a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations.
- Performs preventive compliance functions.
- Utilizes computer resources and software applications for high-level data analysis pursuant to investigation/review procedures.
- Communication and Collaboration
- Interfaces with members, peers, management, and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.
- Education
- Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
- Experience
- A minimum of five years of directly related experience.
- Substantial knowledge of relevant FINRA/SEC rules and regulations.
- Substantial knowledge of securities markets, member firm operations, books, and records.
- Ability to conduct telephone interviews.
- Ability to initiate and complete quality reviews.
- Competence using a desktop computer with the full suite of office software applications.
- Work Environment
- Ability to work under pressure.
- Attention to detail is essential.
- Strong verbal and written communication skills and technical capabilities are essential to the position.
- Some travel may be required.
For work performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA, the proposed salary range is outlined below. 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
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
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