The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail ("CAT") Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is competent-level professional work in which incumbents are refining and expanding skills, and working under supervision and guidance.
Essential Job Functions: - Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system
- Intakes calls, researches, resolves and documents issues of moderate complexity
- Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
- Respond to customer requests by providing functional and navigational support for CAT.
- Assists firms with moderately complex questions regarding validation and linkage error correction.
- Confers with senior Help Desk staff and subject matter experts for guidance on complex issues as appropriate.
- Document all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller's firm, and type of data/technical request and questions.
- Develops a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
- Mentors junior analysts.
- Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and identifying trends
- Provide end user training and advice.
- Demonstration of FINRA's values.
- Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.
Education/Experience Requirements:- Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience. Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred.
- Knowledge of relevant FINRA/SEC rules and regulations.
- Knowledge of securities markets, member firm operations, books and records.
- Excellent customer service skills.
- Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff.
- Competence using a desktop computer with the full suite of office software applications.
- Excellent written and verbal communication skills required.
Working Conditions: - Hybrid work environment, with defined in-person presence requirements.
- Potential for occasional travel.
For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.
CO/FL/TX: Minimum Salary $62,800, Maximum Salary $111,400
IL/PA: Minimum Salary $69,500, Maximum Salary $122,500
MA/MD/VA/Washington, DC: Minimum Salary $72,300, Maximum Salary $127,900
NY/NJ: Minimum Salary $72,300, Maximum Salary $133,700
#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.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
