This is a multi-faceted position in which the Analyst will work with internal and external constituents toward the successful implementation and maintenance of the Consolidated Audit Trail (“CAT”) reporting for Industry Members. Additionally, this position will assist senior staff and management on more complex assignments and projects. This is professional work in which incumbents work under the guidance and supervision of their manager. This position generally requires the analyst to work in the Rockville office two days per week, as assigned by senior management.
Essential Job Functions:
- Interfaces with members, peers, management and others regarding potential business issues related to the CAT
- Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
- Assists in the development of written guidance in the form of FAQs, Alerts and reports related to area of responsibility
- Uses expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications to respond to inquiries from internal and external customers
- Confers with staff and subject matter experts for guidance on more complex issues, as appropriate.
- Assists in the maintenance of the CAT NMS Plan Website. Experience with Drupal and CKEditor is desired.
- Develop written guidance and training programs regarding potential business and technical issues related to the CAT.
- Presents information (verbally and written) to management, and other constituents in an organized, concise and timely fashion.
- Identifies and reports customer service issues along with observed trends to senior management
- Utilizes computer resources and software applications as necessary to develop tracking spreadsheets, PowerPoint presentations, and internal and external reports. Experience with Confluence is desired.
- Conducts special projects, as assigned.
Education/Experience Requirements:
- Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills. And a minimum of one (1) year of directly related experience.
- Knowledge of relevant FINRA/SEC rules and regulations.
- Knowledge of securities markets and member firm operations
- Ability to provide exceptional customer service.
- Ability to interact with a variety of stakeholders. Competence using a desktop computer with the full suite of office software applications.
- Demonstrated excellent written and verbal communication skills required.
- Demonstrated ability to accomplish specific mission and goals through excellent performance on special projects.
- Demonstrated ability to anticipate and serve internal/external customer needs.
- Understands regulatory reporting processes.
Working Conditions:
- Work is normally performed in an office environment.
- Extended hours may be required.
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. 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 $68,400, Maximum Salary $126,600
CO/HI/MN/VT*: Minimum Salary $59,500, Maximum Salary $105,500
IL*: Minimum Salary $65,800, Maximum Salary $116,000
Jersey City, NJ/NYC, NY: Minimum Salary $71,400, Maximum Salary $126,600
MA/WA: Minimum Salary $59,500, Maximum Salary $121,200
MD/Washington, DC: Minimum Salary $68,400, Maximum Salary $121,200
NJ: Minimum Salary $65,800, Maximum $126,600
NY: Minimum Salary $59,500, Maximum Salary $126,600
- Including positions performed outside the state but reporting to an office or manager in that state.
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.
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at
EmployeeRelations@finra.org.
Please note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, 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, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
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, unless otherwise required by law (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
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
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 strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at
EmployeeRelations@finra.org.
Please note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
