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About the role
Key responsibilities & impact- Conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters
- Analyzes filings for violations of rules, regulations, statutes, and policies
- Drafts well-written correspondence and analysis
- Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections
- Monitors workflow and task completion
- Responds to internal and external requests and inquiries regarding filings reviews
- Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to second reviewers and/or managers
- Participates in and contributes to internal and external meetings related to assigned work
- Keeps current with relevant and applicable rules, regulations, statutes, and policies governing filings
- Demonstrates the culture of intelligence, integrity, and initiative in day-to-day interactions with the team
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
Requirements
What you’ll need- Bachelor’s degree in Finance, Accounting, Business or related field
- At least three (3) years of related industry experience
- Demonstrate initiative to work on projects involving data analytics
- Excellent written and oral communication skills
- Excellent organizational skills
- Must be detail oriented
- Ability to manage assigned work and multiple priorities
- Excellent time-management and problem-solving skills
Benefits
Comp & perks- Comprehensive health, dental, and vision insurance
- Basic life, accidental death, and dismemberment insurance
- Supplemental life, spouse/domestic partner, and dependent life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Disability insurance
- Legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Generous time-off program of 15 days paid time off
- 5 personal days
- 9 sick days
- 2 volunteer service days
- Paid military leave
- Paid jury duty leave
- Paid bereavement leave
- Paid voting and election official leave
- Care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- Nine paid holidays
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
data analyticsfinancial analysisregulatory compliancefiling analysisinvestigative analysis
Soft Skills
written communicationoral communicationorganizational skillsdetail orientedtime managementproblem solvinginitiativecollaboration