Regulatory Analyst – Market Regulation, Floor Surveillance recruitment
Essential Job Functions:
- Conduct surveillance of trading in NYSE and NYSE Amex listed securities.
- Conduct in-depth and timely investigations of trading in NYSE and NYSE Amex listed securities.
- Perform analysis of trading activity to detect possible violation of rules, policies, and procedures.
- Interact with member organizations to obtain information and documentation.
- Examine all related market data and reconstruct trading using various automated tools and other methods.
- Conduct interviews and depositions of market participants and supervisory personnel.
- Draft investigative memoranda detailing investigative findings and recommending appropriate disposition to management supported by factual evidence and legal analysis concerning informal disciplinary actions (e.g. cautionary letters and summary fines) and referrals to the Legal Section.
- Support development of automated systems and surveillances.
- Assist in conducting special studies and projects and in preparation of related reports.
- Assist in responding to inquiries from the Securities and Exchange Commission.
- Communicate with NYSE Euronext and NYSE Regulation staff regarding analysis of markets in NYSE and NYSE Amex listed securities.
- Assist in interpreting related rules, policies, and procedures.
- Communicate with members and member organizations concerning interpretation of NYSE rules and requirements.
- Assist in drafting internal policies and procedures and Information Memos to members and member organizations.
- Make presentations regarding NYSE and NYSE Amex rules and regulations and surveillance systems.
Qualifications Education/Experience Requirements:Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills. Strong background in statistical analysis and trading practices preferred. 43 - Working knowledge of relevant rules and regulations enforced by FINRA and ability to conduct telephone interviews. Working knowledge of securities 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 relevant rules and regulations enforced by SEC and FINRA and its clients including NYSE and NYSE Amex. Knowledge of securities 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 SEC and FINRA and its clients including NYSE and NYSE Amex. Substantial knowledge of securities 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. 46 - A minimum of five years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by SEC and FINRA and its clients including NYSE and NYSE Amex. Substantial knowledge of securities 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. 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.
- Ability to work beyond regular business hours, as required.
- 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. 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.