Analyst, Disclosure Review
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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.
