Regulatory Analyst - NY, NY

Job Description:FINRA, created through the consolidation of NASD (National Association of Securities Dealers) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange, is currently seeking a talented individual for our opening for aRegulatory Analystof Market Regulation in our New York City office. The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States and is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.Major Purpose of Job:The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities laws, rules and regulations enforced by FINRA.Essential Job Functions:Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of the securities laws, rules and regulations enforced by FINRA. Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity. Through the review/investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets. Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant securities laws, rules and regulations enforced by FINRA; performs preventive compliance functions. Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion. Utilizes computer resources and software applications for data analysis pursuant to investigation / review procedures. Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.Education/Experience Requirements:Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.43 - Working knowledge of relevant securities laws, rules and regulations enforced by FINRA and ability to conduct telephone interviews. Working knowledge of securities markets, member firm operations, books and records. Familiarity with the use of a desktop computer.44 - A minimum of one year of directly related experience. Knowledge of relevant securities laws, rules and regulations enforced by FINRA. Knowledge of securities markets, 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.45 - A minimum of three years of directly related experience. Substantial knowledge of relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of securities markets, 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.46 - A minimum of five years of directly related experience. Substantial knowledge of relevant securities laws, rules and regulations enforced by FINRA. Substantial knowledge of securities markets, 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. Some travel may be required.In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement 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. ABOUT FINRA: A new single SRO [Self Regulatory Organization] for the U.S. Securities Industry was created with the joining of NASD and NYSE Regulation, Inc. in July 2007. This new SRO is the largest self-regulatory organization for securities brokers and dealers in the world. FINRA streamlines regulation by eliminating dual-regulation that existed for 200 of the largest securities firms in the U.S. Come join us as we become a modern regulator by focusing our efforts not just on enforcement of rules, but on forward thinking activities such as member education, investor education, compliance training for industry firms and increased collaboration with other U.S. and International Regulatory bodies. FINRA is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,100 brokerage firms, about 173,000 branch offices and more than 665,000 registered securities representatives. FINRA touches virtually every aspect of the securities business - from registering and educating all industry participants, to examining securities firms, enforcing both FINRA rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.



Job Experience:See Job Description AboveExpected Travel Time: None