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Regulatory Analyst III
2 months ago
{"h1": "Regulatory Analyst III Job Description", "p": "At FINRA, we are seeking a highly skilled Regulatory Analyst III to join our team. As a key member of our market surveillance team, you will be responsible for conducting routine reviews and investigations of complex market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations.", "ul": [{"li": "Analyze trading activity to identify potential violative activity and conduct routine reviews and investigations into possible violations of FINRA rules and regulations."}, {"li": "Compile and organize information from various sources to develop investigations of potential violative activity."}, {"li": "Resolve situations that may impact the integrity of Nasdaq or other markets through the review/investigative process."}, {"li": "Demonstrate a thorough understanding of investigative techniques and relevant FINRA/SEC rules and regulations, performing preventive compliance functions."}, {"li": "Present investigative findings to management and other constituents in an organized, concise, and timely fashion."}, {"li": "Utilize computer resources and software applications for high-level data analysis pursuant to investigation/review procedures."}, {"li": "Interface with members, peers, management, and others, providing excellent internal/external customer service in a specialized area of regulatory responsibility."}], "h2": "Education/Experience Requirements", "ul": [{"li": "Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills."}, {"li": "A minimum of five years of directly related experience, with substantial knowledge of relevant FINRA/SEC rules and regulations."}, {"li": "Substantial knowledge of securities markets, member firm operations, books, and records, with the ability to conduct telephone interviews."}, {"li": "Ability to initiate and complete quality reviews."}, {"li": "Competence using a desktop computer with the full suite of office software applications."}], "h3": "Work Conditions", "ul": [{"li": "Ability to work under pressure, with attention to detail being essential."}, {"li": "Strong verbal and written communication skills and technical capabilities are essential to this position."}, {"li": "Some travel may be required."}], "h4": "Compensation", "p": "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. The proposed salary range for this position is as follows: 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."}
