Analyst, Corporate Actions Transparency Services

FINRA • Rockville, MD

1d • Hybrid

About The Position

The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of various Corporate Actions. This is entry-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under direct supervision.

Requirements

• Bachelor's degree in finance, law, business, economics and a minimum of one (1) year of related industry experience in a regulatory or financial markets environment.
• Competency using a desktop computer with the full suite of office software applications.
• Communication skills and the ability to interact with internal/external parties at varying levels.
• Ability to work under pressure.
• Attention to detail.
• Ability to handle multiple projects/assignments simultaneously with competing priorities.

Responsibilities

• Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies.
• Utilizes computer resources and software applications for managing and tracking cases.
• Assists Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors
• Contributes to the development and enhancement of section policies and procedures.
• Works with senior staff and management regarding subsequent course of action to be taken
• Maintains the relevant databases that support the operation of the marketplace.
• Maintain cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe.
• Confers with senior staff and management as needed for guidance on complex issues.
• Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Benefits

• comprehensive health, dental and vision insurance
• basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• 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
• adoption assistance
• backup family care
• surrogacy benefits
• employee assistance
• 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 for federal, state or local primary and general elections
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level