Regulatory Analyst – Market Regulation, Fixed Income recruitment
Job Summary:The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant 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 relevant rules and regulations enforced by FINRA relating to fixed income markets and/or federal securities laws.
- 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 the Fixed Income markets.
- Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant 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.
Qualifications 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 rules and regulations enforced by FINRA and ability to conduct telephone interviews. Working knowledge of fixed income 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 r relevant rules and regulations enforced by FINRA. Knowledge of fixed income 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 rules and regulations enforced by FINRA. Substantial knowledge of fixed income 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. Ability to provide guidance to less experience Analysts. 46 - A minimum of five years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. Substantial knowledge of fixed income 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. Ability to provide direct training to less experience Analysts. 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.
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.