Analyst, Disclosure Review

Full-time - Entry Level

Hybrid - Rockville, MD

Religious, Grantmaking, Civic, Professional, and Similar Organizations

About the position

The Analyst performs a variety of specific duties depending on the core function to which assigned. Core functions in Regulatory Review and Disclosure (RR&D) include but not limited to disclosure review of Uniform Forms U4, U5, U6, BD, and BDW, Public Records Review, Criminal History Record Information (CHRI), Statutory Disqualification, Expungements, Formal Disciplinary Actions (FINRA, SEC, and other Self-Regulatory Organizations (SRO)) and review of related Court Documents. Includes applying basic analytical skills to help support RR&D processes and supporting functions and utilizing applicable systems. This is a junior-level professional position in which incumbents are learning their assigned roles, attaining newly learned skills and working under direct supervision.

Responsibilities

• Research, review, analyze and process uniform form filings U4, U5, U6, BD, BDW and CHRI to ensure compliance with Web CRD filing requirements, as well as FINRA, SRO, and SEC rules, regulations and statutes.
• Identify and/or remove individual/firm filing deficiencies with appropriate constituents via Web CRD or other appropriate communication vehicles.
• Determine whether or not an individual or organization is subject to statutory disqualification (SD) and/or perform applicable Expungement activities.
• Analyze court documents (e.g., criminal, civil, regulatory) and utilize Lexis-Nexis, Court Link and other resources to research and analyze state and federal statutes.
• Contact county, state, and federal courts as needed to obtain required documentation when not otherwise available.
• Review, identify and analyze disciplinary actions taken against individuals and organizations by FINRA, the SEC and other Federal, State and other SRO's.
• Summarize disciplinary actions and create Form U6 filing and submit to Web CRD.
• Draft summaries for inclusion in the monthly Disciplinary and Other FINRA Actions Regulatory Notice publication.
• Research, review and handle organization name reservations.
• Assist firms and other regulators with Mass Transfer requirements/process.
• Research and respond to correspondence and/or Tier II telephone inquiries from FINRA firms, other FINRA departments, regulators and/or other constituents.
• Report and escalate outstanding issues to Senior Analysts, Associate Principal Analysts, and/or RR&D management.
• Complete a fair workload across multiple functions and meet and/or exceed established goals in performing RR&D reviews.
• Contribute towards RR&D ad-hoc reports or projects, work well with others, model leadership skills when appropriate and continue to learn new functions or skills as needed.

Requirements

• Bachelor's degree with a legal and/or business concentration or related field.
• One (1) year of directly related experience.
• Well-developed interpersonal skills; excellent verbal and written communication skills.
• Research and analytical skills.
• Demonstrated organizational skills and the ability to multitask; Attention to detail.
• Proficiency of Windows PC environment as well as MS Word, Excel, and Access; working knowledge of LexisNexis preferred.

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance.
• Short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
• 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement, commuter benefits, and other benefits that support employee wellness.
• Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days.
• Two volunteer service days.
• Paid holidays.