Regulatory Analyst - Market Regulation, Market Manipulation Investigations

FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD. Job Summary: The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA.

Essential Job Functions:

• Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. 
• Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA.  
• Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity. 
• Through the review / investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets. 
• Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA; performs preventive compliance functions. 
• Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion. 
• Utilizes computer resources and software applications for data analysis pursuant to investigation / review procedures. 
• Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.

Qualifications  Education/Experience Requirements:Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills. 43 - Working knowledge of relevant rules and regulations enforced by FINRA and ability to conduct telephone interviews.  Working knowledge of securities markets, member firm operations, books and records.  Familiarity with the use of a desktop computer. 44 - A minimum of one year of directly related experience.  Knowledge of relevant rules and regulations enforced by FINRA.  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. 45 - A minimum of three years of directly related experience.  Substantial knowledge of relevant rules and regulations enforced by FINRA.  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. 46 - A minimum of five years of directly related experience.  Substantial knowledge of relevant rules and regulations enforced by FINRA.  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.  Working Conditions:

• Ability to work under pressure. 
• Attention to detail is essential. 
• Strong verbal and written communication skills and technical capabilities are essential to position. 
• Some travel may be required.

 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.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

 Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism