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Associate Analyst, Member Supervision - Guidance and Procedures Support at FINRA in Washington, Washington DC

Posted in Nonprofit - Social Services 30+ days ago.

Type: Full-Time

Job Description:

Working under direct supervision and guidance, the Associate Analyst will be responsible for data entry as it relates to the various systems and databases used by the department for the creation and maintenance of policies, procedures and guidance documents. The Associate Analyst position is an entry-level professional position in which the incumbent is expected to obtain a basic knowledge of industry rules, regulations and guidelines to assist the individual in carrying out assigned job responsibilities.

Essential Job Functions:

  • Exhibits competency in performing assigned regulatory work.

  • Under the direction of a manager/supervisor, will be responsible for the entry of updated and new policies and procedures for examinations, risk monitoring and other Member Supervision activities. Ensures that updates to associated systems and databases are made timely and in accordance with departmental standards.

  • Provides feedback to his/her manager to ensure all new/updates to Member Supervision content contain the necessary information needed to properly make the updates within the systems.

  • Under Manager supervision, provides initial drafts of documents communicating changes to policies and procedures.

  • Coordinates and communicates effectively with other FINRA personnel and on occasion, other external constituents. 

  • Provides timely, accurate responses to inquiries and requests for information.

  • May Participate in ad hoc initiatives and special projects.

Education/Experience Requirements:

  • Bachelor’s degree in Finance, Accounting, Economics, or Business.

  • Basic working knowledge of securities industry rules, regulations and guidelines.

  • Excellent organizational skills.

  • Basic critical thinking, research and analytical skills.

  • Solid interpersonal, oral and written communication skills.

  • Technical capabilities are essential to the position.

  • Can effectively learn and manage various systems and databases.

Working Conditions:

  • Work is normally performed in an office environment at FINRA with remote working capabilities. 

  • Extended hours are frequently required. 

  • Work environment includes high productivity expectations and tight deadlines.

To be considered for this position, please submit an application.

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.

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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.

You can read more about these restrictions here.

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.

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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