The Senior Analyst in Market Operations section of Transparency Services conducts reviews and analysis for Over-the-Counter equity securities to identify potential violations of applicable federal securities and FINRA rules and regulations, as well as ensuring market integrity and investor protection. This position is a professional individual contributor who works under close supervision in independent handling routine matters while collaborating with senior staff and management on complex issues.
Essential Job Functions:- Applies regulatory expertise in evaluating requests supporting FINRA's mission to maintain market integrity and investor protection.
- Reviews and analyzes documentation, financial statements and corporate filings to verify accuracy and identify inconsistencies or omissions.
- Evaluates submissions against applicable federal securities laws and FINRA rules to assess risk and recommend appropriate regulatory responses.
- Maintains accurate case management records, tracking milestones, deadlines, and follow-up actions to ensure timely resolution of cases.
- Documents all case activities in accordance with departmental standards, including analytical approaches, stakeholder communications (internal and external), case steps, outcomes, and referral to Market Oversight or external agencies.
- Communicates case findings and analytical conclusions to management through clear, well-organized presentations and written reports that support informed decision-making.
- Demonstrates a culture of intelligence, integrity, and initiative in day-to-day interactions with the team.
- Demonstrates FINRA's values.
- Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.
Other Responsibilities:- Participates in development and testing of analytics tools, investigative methodologies, and process improvements that enhance the efficiency and effectiveness of corporate action reviews.
- Remains current on industry trends, practices and regulatory impacts.
Education/Experience Requirements:- Bachelor's degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and related professional experience.
- Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder.
- Ability to identify potential securities rule violations.
- Demonstrated experience reviewing and analyzing financial statements, corporate filings, and regulatory documentation.
- Analytical and critical thinking skills with attention to detail.
- Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for senior management.
- Experience with case management systems and documentation practices.
- Understanding of risk assessment methodologies in a regulatory context.
- Organizational skills with ability to manage multiple cases, deadlines, and priorities simultaneously.
Working Conditions:- Hybrid work environment, with hours with defined in-person requirements.
- Hours may extend beyond normal business hours.
- Travel will be required, as necessary.
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 $72,400, Maximum Salary $129,200
IL/PA: Minimum Salary $79,800, Maximum Salary $142,300
MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600
NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100
#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
