Analyst, Regulatory Review & Disclosure

FINRA•Rockville, MD

1d•$62,800 - $133,700•Hybrid

About The Position

The Analyst in Regulatory Review & Disclosure (RR&D) supports operations by reviewing, analyzing, and processing regulatory filings, public records, disciplinary actions, criminal history information, statutory disqualification matters, expungements, and related court documents. The role applies research, analytical, and problem-solving skills to help ensure compliance with FINRA, SEC, SRO, and Central Registration Depository (CRD) program requirements, using applicable systems and resources. This is an entry-level professional individual-contributor role performed under direct supervision. The position operates in a hybrid work environment with defined in-person presence requirements. Compensation varies by location and is influenced by factors including skills, experience, education, and market considerations. Employees may be eligible for a discretionary bonus; non-exempt employees are also eligible for overtime pay in accordance with applicable law.

Requirements

Bachelor’s degree with a legal and/or business concentration.
At least one year of related industry work experience.
Effective verbal and written communication skills and the ability to interact professionally with internal and external stakeholders.
Research and analytical skills, including the ability to review information, apply established criteria, and escalate matters appropriately.
Strong organizational skills and attention to detail, with the ability to manage multiple assignments and meet quality and timeliness standards.
Proficiency in Microsoft Office and the ability to learn and use regulatory, case management, and online research systems.

Nice To Haves

Experience with LexisNexis or similar legal research tools.

Responsibilities

Review and process assigned regulatory registration and disclosure filings and criminal history record information in accordance with established procedures and regulatory requirements; identify routine deficiencies and escalate exceptions.
Research public records, court documents, and regulatory information using approved tools and defined criteria to support statutory disqualification and expungement-related activities.
Review assigned disciplinary actions, arbitration claims and awards, and regulatory enforcement actions to identify potentially reportable information and prepare regulatory filings using established requirements and guidance.
Prepare accurate disciplinary summaries from source documents and established templates for review and possible inclusion in FINRA’s Monthly Disciplinary and Other FINRA Actions Regulatory Notice publication.
Process organization name reservation requests and support assigned mass transfer activities by verifying information, completing established process steps, and escalating exceptions.
Research and respond to routine inquiries from member firms, regulators, FINRA departments, and other stakeholders concerning CRD filings, registration rules, regulatory obligations, and related matters.
Recognize and document issues, complete routine follow-up, and escalate complex, unusual, or unresolved matters to senior staff or RR&D management.
Demonstrate FINRA’s values and collaborate 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 insurance.
Short- and long-term disability, long-term care, business travel accident, and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility to participate in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance, backup family care, and surrogacy benefits.
Employee assistance and wellness programs.
Paid time off starting at 15 days and increasing with years of service up to 25 days.
Five personal days and nine sick days, prorated in the first year where applicable.
Two volunteer service days based on a full-time schedule.
Paid military leave, jury duty leave, bereavement leave, voting and election official leave, family member care leave, and childbirth and parental leave, subject to stated eligibility and availability terms.
Nine paid holidays for full-time employees.
Discretionary bonus eligibility.
Overtime pay eligibility for non-exempt employees in accordance with applicable law.