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Regulatory Operations Analyst at FINRA in Rockville, Maryland

Posted in Management 30+ days ago.

Type: Full-Time

Job Description:

The Regulatory Operations Analyst is a senior-level professional responsible for a wide variety of tasks in support of the Market Regulation Department’s compliance functions, including those related to managing conflicts of interest and policies and procedures. This role is a member of Market Regulation’s Operations and Services Team, which is responsible for, among other things, Regulatory Services Agreement (RSA) account management and support, coordinating responses to government oversight and non-oversight requests, training, and other departmental support services. This role will primarily support Market Regulation’s business units, which include the Office of Market Regulation, Quality of Markets, Trading and Execution, and Options Regulation.
This is senior-level professional work in which incumbents are defining their assigned roles, applying their job skills, and working under general guidance.

Essential Job Functions:

  • Supports Market Regulation's conflict of interest liaison function, including work related to certifications, recusals, exemptions, documentation, and reporting.

  • Oversees Market Regulation's policy and procedures maintenance function, including regular (e.g. monthly) publication of policy/procedure updates, maintenance of common procedures and guidance, and management of the annual certification process. Manages the onboarding of existing policies and procedures to the new policy management tool (PMT). Assists with policy and procedures-related work in support of FINRA's governance, risk, and compliance (GRC) tool.

  • Leads project and program management meetings with participation from internal and external representatives. Provides guidance to staff on preparation and presentation of complex agenda items. Prepares meeting minutes and responds to questions from internal and external executive management meeting participants.

  • Oversees and reviews the collection of materials responsive to audit, client oversight and SEC requests.

  • Provides advice, guidance, supervision and training to staff.

  • As requested by the Director, completes special projects for senior management that are critical to the attainment of Department goals and objectives.

Other Responsibilities:

  • Manages, tracks, and resolves complex issues and problems.

  • Ensures all assigned activities are completed according to prescribed policies and standards.

  • Maintains current knowledge of applicable business activities.

  • Fulfills administrative reporting tasks.

Education/Experience Requirements:

  • A Bachelor’s degree, preferably in Information Systems, Accounting, Finance, Business Administration or a related area. Equivalent work experience will be considered.

  • Minimum of 8 years relevant business experience is required.

  • Proficiency in Adobe RoboHelp, Excel, PowerPoint, and Word is required.

  • Experience with securities market structure issues, associated data, securities regulations and Market Regulation business processes and applications is strongly preferred.

  • Experience in the assessment and implementation of business processes, process improvement and strategic initiatives is required.

  • Strong verbal and written communication skills are essential.

Work Conditions:

  • Work is performed in remote and office environments.


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.

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.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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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