Regulatory Analyst - Market Regulation, Short Interest - Rockville, MDBookmark This
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FINRA is seeking a well-qualified individual for our Regulatory
Analyst opening in Rockville, MD. To be considered for
this position, please submit your resume through our career site at
no phone calls, please.
The Regulatory Analyst
(Short Interest) will be responsible for the collection, analysis
and dissemination of regulatory short interest data reported by
member firms each month. The Regulatory Analyst will
interface with member firms to resolve issues or questions
surrounding the submission of the regulatory data. The
Regulatory Analyst will conduct reviews of member firms for
untimely and/or inaccurate submissions of short interest
data. A Regulatory Analyst performs the job functions with
some guidance and direction.
Essential Job Functions:
- Collects short interest data from member firms as required by
the relevant rules and regulations enforced by FINRA.
Analyzes system generated exception reports, resolves errors,
confirms data with member firms and corrects data as
necessary. Assists in the exchange of short interest data
with other self-regulatory organizations (SROs). Interfaces
with management, member firms, and FINRA technology personnel to
resolve all issues and problems surrounding the collection,
processing and dissemination of short interest data. Meets
all deadlines regarding the dissemination of short interest
- Identifies potential regulatory issues pertaining to the
accuracy and timeliness of reported short interest data requiring
investigative follow-up and brings the potential regulatory issues
to management in a timely manner.
- Conducts reviews of untimely and/or inaccurate filing of short
interest data by member firms. Collects evidence to support
any violative activity identified in the reviews.
- Presents investigative findings orally and in writing to
management and/or the Legal Section in an organized, concise and
- Provides excellent internal/external customer service.
Responds to inquiries and/or resolves issues pertaining to the
filing of short interest data in a prompt and professional
- Works closely with management and technology staff to ensure
the proper functioning of all relevant systems.
- Participates in development, requirements gathering and user
acceptance testing of new systems relevant to the assigned
- An undergraduate degree or acceptable equivalent workexperience demonstrating analytical skills.
- Demonstrates analytical skills and strong attention todetail.
- Ability to work under pressure and meet tight deadlines.
- Strong verbal and written communication skills.
- Strong customer service ethic and willingness to satisfy needsof internal and external customers.
- May require attendance beyond normal working hours severaltimes per month.
- Some travel may be required.
To be considered for this position, please submit a coverletter and resume. A writing sample may be required as partof the submission.
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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