Regulatory Analyst III
1 week ago
The Regulatory Analyst III conducts routine reviews and investigations of complex market activity to identify potential violations of federal securities laws and FINRA rules and regulations.
Key Responsibilities- Analyze trading activity to detect indications of potential violative activity.
- Conduct thorough reviews and investigations into possible violations of FINRA rules and regulations.
- Compile and organize information from various sources to support investigations.
- Resolve situations that may impact market integrity through the review and investigative process.
- Demonstrate expertise in investigative techniques and relevant FINRA/SEC rules and regulations.
- Present findings to management and other stakeholders in a clear and concise manner.
- Utilize data analysis software and computer resources to support investigations.
- Provide excellent customer service and interface with members, peers, and management.
- Bachelor's degree in Finance, Economics, or Business, or equivalent work experience.
- Minimum of five years of directly related experience, with substantial knowledge of FINRA/SEC rules and regulations.
- Strong analytical and research skills, with ability to conduct telephone interviews and initiate quality reviews.
- Competence in using desktop computers and office software applications.
- Ability to work under pressure, with attention to detail essential.
- Strong verbal and written communication skills, with technical capabilities.
- Some travel may be required.
Salary ranges vary by location, with proposed ranges outlined below. Actual compensation is based on factors such as skill set, experience, education, and internal peer comparisons.
CA: $91,500 - $170,900
CO/HI/MN/VT: $79,500 - $142,300
IL: $87,500 - $156,600
Jersey City, NJ/NY, NY: $95,400 - $170,900
MD/Washington, DC: $91,500 - $163,700
WA: $79,500 - $163,700
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