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Regulatory Analyst - Market Regulation, Special Reviews - New York, NY

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FINRA
New York, NY
Application Deadline: No Deadline
Position: Full-time, Paid

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Description

We Work to Protect Investors. Join our Team.

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 www.finra.org/careers - no phone calls, please.

Job Summary:

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of manipulation and/or 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 securities.

  • Conduct in-depth and timely investigations of trading in NYSE and NYSE Amex listed securities.

  • Perform analysis of trading activity to detect possible manipulation of NYSE/AMEX listed securities and potential violations of FINRA/NYSE and SEC rules.

  • Interact with member organizations to obtain information and documentation.

  • Examine all related market data and reconstruct trading using various automated tools and other methods.

  • Conduct interviews and depositions of market participants and supervisory personnel.

  • 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 surveillances.

  • Assist in conducting special studies and projects and in preparation of related reports.

  • Assist in responding to inquiries from the SEC.

  • Compose referrals to the SEC of violative activity effected by market participants that are not within FINRA's jurisdiction.

  • Communicate with NYSE Euronext and NYSE Regulation staff regarding analysis of markets in NYSE and NYSE Amex listed securities.

  • Assist in interpreting related rules, policies, and procedures.

  • 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.


Education/Experience Requirements:
  • Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
  • Strong background in statistical analysis and trading practices preferred.
  • A minimum of one to five (1 - 5) years of directly related experience.
  • Substantial knowledge of relevant rules and regulations enforced by SEC and FINRA and its clients including NYSE and NYSE Amex.
  • Substantial knowledge of equity markets, emerging regulatory issues, 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.
  • Ability to work beyond regular business hours, as required.
  • Some travel may be required.

To be considered for this position, please submit a cover letter and resume.  A writing sample may be required as part of the submission.

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, enterwww.finra.org/careersinto 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 accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.

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.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

Find out more about us and how we work-and view our current openings-at www.finra.org/careers.

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 is an Equal Opportunity and Affirmative Action Employer

©2012 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

How To Apply

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