Regulatory Analyst - Market Regulation, Floor Surveillance - New York, NYBookmark This
New York, NY
DescriptionWe Work to Protect Investors. Join
FINRA is seeking a well-qualified individual for our Regulatory
Analyst opening in New York, NY. To be considered for
this position, please submit your resume through our career site at
no phone calls, please.
The Regulatory Analyst conducts routine review and investigations
of unusual market activity for evidence of violations of relevant
rules and regulations enforced by FINRA and it clients.
Essential Job Functions:
- Conduct surveillance of trading in NYSE and NYSE Amex listed
- Conduct in-depth and timely investigations of trading in NYSE
and NYSE Amex listed securities.
- Perform analysis of trading activity to detect possible
violation of rules, policies, and procedures.
- Interact with member organizations to obtain information and
- Examine all related market data and reconstruct trading using
various automated tools and other methods.
- Conduct interviews and depositions of market participants and
- Draft investigative memoranda detailing investigative findings
and recommending appropriate disposition to management supported by
factual evidence and legal analysis concerning informal
disciplinary actions (e.g. cautionary letters and summary fines)
and referrals to the Legal Section.
- Support development of automated systems and
- Assist in conducting special studies and projects and in
preparation of related reports.
- Assist in responding to inquiries from the Securities and
- Communicate with NYSE Euronext and NYSE Regulation staff
regarding analysis of markets in NYSE and NYSE Amex listed
- Assist in interpreting related rules, policies, and
- Communicate with members and member organizations concerning
interpretation of NYSE rules and requirements.
- Assist in drafting internal policies and procedures and
Information Memos to members and member organizations.
- Make presentations regarding NYSE and NYSE Amex rules and
regulations and surveillance systems.
Bachelor's degree in Finance, Economics, or Business or equivalentwork experience in the financial industry demonstratingresearch/analytical skills. Strong background in statisticalanalysis and trading practices preferred.
43 - Working knowledge of relevant rules and regulations enforcedby FINRA and ability to conduct telephone interviews. Workingknowledge of securities markets, member firm operations, books andrecords. 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 SEC andFINRA and its clients including NYSE and NYSE Amex. Knowledgeof securities markets, member firm operations, books andrecords. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of officesoftware applications.
45 - A minimum of three years of directly related experience. Substantial knowledge of relevant rules and regulationsenforced by SEC and FINRA and its clients including NYSE and NYSEAmex. Substantial knowledge of securities markets, memberfirm operations, books and records. Ability to conducttelephone interviews. Ability to initiate and completequality reviews. Competence using a desktop computer with thefull suite of office software applications.
46 - A minimum of five years of directly related experience. Substantial knowledge of relevant rules and regulationsenforced by SEC and FINRA and its clients including NYSE and NYSEAmex. Substantial knowledge of securities markets, memberfirm operations, books and records. Ability to conducttelephone interviews. Ability to initiate and completequality reviews. Competence using a desktop computer with thefull suite of office software applications.
- Ability to work under pressure.
- Attention to detail is essential.
- Strong verbal and written communication skills and technicalcapabilities are essential to position.
- Ability to work beyond regular business hours, asrequired.
- Some travel may be required.
To be considered for thisposition, please submit a cover letter and resume. A writingsample may be required as part of thesubmission.
The information provided above has been designed to indicatethe general nature and level of work of the position. It is not acomprehensive inventory of all duties, responsibilities andqualifications required.
Please note: If the "Apply Now" button on a job board postingdoes not take you directly to the FINRA Careers site, enterwww.finra.org/careersinto your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. Ifyou need a disability-related accommodation for completing theapplication process, please contact FINRA's accommodation help lineat (240) 386-4865. Please note that this number is exclusively forinquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health andwelfare benefits, and incentive compensation, FINRA offersimmediate participation and vesting in a 401(k) plan with companymatch. You will also be eligible for participation in an additionalFINRA-funded retirement contribution, our tuition reimbursementprogram and many other benefits. If you would like to contribute toour important mission and work collegially in a professionalorganization that values intelligence, integrity and initiative,consider a career with FINRA.
Please note: FINRA's Code of Conduct imposes restrictions on employees' investmentsand requires financial disclosures that are uniquely related to ourrole as a securities regulator. As standard practice, employeesmust also complete FINRA's Employee Confidentiality and InventionAssignment Agreement and comply with the company's policy onnepotism.
The Financial Industry Regulatory Authority (FINRA) is the largestindependent regulator for all securities firms doing business inthe United States. FINRA's mission is to protect America'sinvestors by making sure the securities industry operates fairlyand honestly. All told, FINRA oversees nearly 4,600 brokeragefirms, about 164,000 branch offices and approximately 632,000registered securities representatives.
FINRA's independent regulation plays a critical role in America'sfinancial system and touches virtually every aspect of thesecurities business-from registering and educating industryparticipants to examining securities firms; writing rules;enforcing those rules and the federal securities laws; informingand educating the investing public; providing trade reporting andother industry utilities; and administering the largest disputeresolution forum for investors and registered firms. We alsoperform market regulation under contract for the major U.S. stockmarkets, including the New York Stock Exchange, NYSE Arca, NYSEAmex, The NASDAQ Stock Market and the International SecuritiesExchange.
FINRA has approximately 3,000 employees and operates fromWashington, DC, and New York, NY, with 20 regional offices aroundthe country.
In today's fast-paced and complex global economy, FINRA is atrusted advocate for investors, dedicated to keeping the marketsfair and proactively addressing emerging regulatory issues beforethey harm investors or the markets.
Find out more about us and how we work-and view our currentopenings-at www.finra.org/careers.
Please be advised that FINRA is not seeking assistance or acceptingunsolicited resumes from search firms for this employmentopportunity. Regardless of past practice, a valid written agreementand task order must be in place before any resumes are submitted toFINRA. All resumes submitted by search firms to any employee atFINRA without a valid written agreement and task order in placewill be deemed the sole property of FINRA and no fee will be paidin the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative ActionEmployer
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