Regulatory Analyst – Securities Fraud Investigations-OFDMI/Whistleblower recruitment
Job Summary: The Regulatory Analyst conducts reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute violations of applicable federal securities laws and/or FINRA rules and regulations. The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Essential Job Functions:
- Conducts comprehensive reviews and investigations into possible violations of FINRA rules and/or federal securities laws.
- Demonstrates knowledge of the rules and regulations relevant to assigned matters.
- Effectively utilizes internal FINRA systems and external resources (such as the Internet) to develop information relevant to matters under investigation pursuant to established OWB procedures.
- Compiles and organizes information from a variety of sources to be used in the development of investigations of potentially violative activity.
- Drafts high quality requests for documents and information pursuant to FINRA Rule 8210 that require minimal revision.
- Utilizes effective oral interviewing skills to develop pertinent information from relevant parties.
- Presents investigative findings (orally and in writing) to management in an organized, accurate, concise and timely fashion.
- Interfaces with peers, management and others and provides excellent internal/external customer service in area of regulatory responsibility.
- Maintains case files according to established procedures.
Qualifications Education/Experience Requirements:
- Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
Grade 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. Grade 44 - A minimum of one year of directly related experience. Knowledge of relevant rules and regulations enforced by FINRA. 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. Grade 45 - A minimum of three years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. 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. Grade 46 - A minimum of five years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. 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. Grade 47- A minimum of seven years of direct related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. 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:
- Normal office environment located in Rockville, Maryland.
- Work outside of business hours and 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. Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism. About FINRA The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.