Analyst, CAT Helpline

FINRA•Rockville, MD

1d•$72,300 - $133,700•Hybrid

About The Position

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is competent-level professional work in which incumbents are refining and expanding skills, and working under supervision and guidance.

Requirements

Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience.
Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred.
Knowledge of relevant FINRA/SEC rules and regulations.
Knowledge of securities markets, member firm operations, books and records.
Excellent customer service skills.
Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff.
Competence using a desktop computer with the full suite of office software applications.
Excellent written and verbal communication skills required.

Responsibilities

Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system
Intakes calls, researches, resolves and documents issues of moderate complexity
Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
Respond to customer requests by providing functional and navigational support for CAT.
Assists firms with moderately complex questions regarding validation and linkage error correction.
Confers with senior Help Desk staff and subject matter experts for guidance on complex issues as appropriate.
Document all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller’s firm, and type of data/technical request and questions.
Develops a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
Mentors junior analysts.
Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and identifying trends
Provide end user training and advice.
Demonstration of FINRA’s values.
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Benefits

Discretionary bonus
Overtime pay
Comprehensive health insurance
Dental insurance
Vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short-term disability insurance
Long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
401(k) plan with company match
FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance program
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays