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Senior Analyst - Registration and Disclosure - Rockville, MD at FINRA in Rockville, Maryland

Posted in General Business 30+ days ago.

Type: Full-Time

Job Description:

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Analyst opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

the following regulatory-related programs as follows: Statutory Disqualification/Membership
Continuance, “Acceptance” (FINRA individual registration approvals), Form U6
reporting to Web CRD® and regulatory support functions such as the preparation
of the disciplinary actions summaries for the monthly Regulatory Notices

Essential Job Functions:

  • Review
    potential and actual statutory disqualification cases, including filings, court documents and correspondence referred by all Regulatory Review & Disclosure
    (RR&D) staff. Performs additional research as needed.

  • Review and analyze disclosure related filings that have been preliminarily approved by Disclosure Review analysts and perform “Acceptance” function. 

  • Perform liaison activities with RAD Legal & Policy, Member Regulation, Office of General Counsel, SEC and NYSE in support of the Membership Continuance Program, as needed, by reviewing all relevant documentation, gathering additional information as appropriate, providing written comments on the case, and summarizing the merits of the case for review.

  • Maintain SD files, tracking and statistics in accordance with prescribed standards, policies and procedures.

  • Review, identify and analyze disciplinary actions taken against individuals and organizations by the FINRA, SEC and other Federal, State and Self Regulatory authorities, as well as FINRA arbitration statementsof claim and awards/final decisions, to determine if they meet uniform form reporting requirements. If so, summarize as appropriate and create Form U6 filing and submit to Web CRD (including CRD and “disclosure-only” individuals/firms). 

  • Determine sanction effective dates and notify respondents and their firms of the sanction dates and regulatory requirements.

  • Based on comprehensive review and analysis, identify potential sales practice violations in the disciplinary sanctions that require action pursuant to FINRA’s Taping Rule.

  • Coordinate as well as assist with the preparation of drafts for the disciplinary actions section of the Regulatory Notices and determining information to be provided to the National Adjudicatory Council (NAC) regarding respondents in review before the NAC.

  • Prepare Press Releases for dissemination to the news media of all disclosable disciplinary actions.

  • Independently investigate and resolve routine and complex problems and discrepancies concerning disciplinary records in Web CRD, including suspensions, bars, and expulsions.

  • Research and respond to correspondence and/or Tier II telephone inquiries from FINRA firms, other FINRA departments, regulators and/or other constituents. Escalate calls to appropriate persons as needed.

  • Coordinate as well as assist with the preparation, presentation and maintenance of RR&D policies, procedures, and work processes and related materials (e.g., Core Process Manual (CPM).

  • Identify and recommend process improvements and system enhancements that will help improve overall consistency and operating efficiencies.

  • Participate in and help coordinate projects and/or ad hoc assignments as assigned. Assist other Analysts/RR&D Management in compiling and reconciling statistics.

  • Maintain essential skills by attending training programs and participating in required meetings.

  • Perform any other duties required to maintain the effective operation of the RR&D Units, Registration and Disclosure department, and FINRA.

  • Provide assistance to Senior Analysts, Manager, Assistant Directors, Director, Vice President, and other departments.

Education/Experience Requirements:

  • Bachelor’s
    degree with a legal and/or business concentration or equivalent work

  • Course work in legal studies, including the securities field,
    Law degree desirable. 

  • Minimum of three years relevant work
    experience required, preferably industry related. 

  • Well- developed interpersonal

  • Excellent verbal and written communication skills a must. 

  • Strong
    research and analytical skills, and attention to detail required. 

  • Demonstrated
    organizational skills and the ability to multitask also required. 

  • Working
    knowledge of Lexis-Nexis and proficiency in Windows PC environment as well as
    MS Word, Excel, and Access.

Working Conditions:

  • Work in
    an open office environment, frequent use of the telephone, PC, and the Imaging
    system and other systems/software applications (e.g., CCH, Lexis-Nexis, other
    FINRA regulatory systems, etc.). 

  • Evening and weekend work occasionally 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, enter into 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.

Important Information

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. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. 


FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA 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. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

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Find out more about us and how we work—and view our current openings—at

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

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. 

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