Analyst, Corporate Actions Transparency Services
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. Essential Job Functions: 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.
Requirements
- Bachelor's degree in finance, law, business, economics
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
