Associate Analyst, Market Operations Transparency Services

FINRA • Rockville, MD

1d • Hybrid

About The Position

The Market Operations Associate Analyst is an early-career professional role providing responsive client service and operational support to industry members while assisting in monitoring trading and quoting activities across FINRA Trade Reporting Systems. This role develops foundational client service and analytical capabilities to support market operations issue resolution, assists with member firm compliance activities, and contributes to maintaining marketplace integrity. This position builds core competencies through structured training, close mentoring from experienced staff, and guided exposure to fundamental market scenarios. FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Requirements

• Bachelor's degree in Finance, Economics, or Business.
• Demonstrated client service skills and demonstrated ability to interact professionally with member firms, SRO/SEC regulatory staff, and FINRA colleagues
• Interpersonal and communication skills, both written and verbal
• Analytical skills with ability to work with large datasets and identify trading anomalies and patterns
• Must demonstrate attention to detail, sound judgment, and solid organizational skills

Nice To Haves

• Foundational knowledge of FINRA/SEC trading rules preferred.

Responsibilities

• Assists in providing excellent internal/external client service to member firms, SROs, other FINRA departments, and vendors; supports intake, research, resolution, and documentation of routine operational issues
• Assists in monitoring intra-day trading in all FINRA Trade Reporting systems and reviews system-generated alerts for anomalous trading activity including price and volume discrepancies; supports member firm compliance with established FINRA rules and regulations
• Assists in monitoring and addressing trading halts and resumptions for over-the-counter, foreign, and exchange-listed securities
• Maintains relevant databases and systems supporting marketplace operations according to established procedures
• Escalates identified trading or system issues to senior staff with preliminary observations
• Confers with senior staff and subject matter experts for guidance on operational issues and to develop understanding of complex matters
• Develops foundational proficiency on relevant trading rules and market guidelines through ongoing research and consultation
• Identifies potential system and procedural enhancements based on frontline insights and customer feedback
• Demonstrates FINRA's values.
• Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Benefits

• discretionary bonus
• overtime pay in accordance with federal, state, or local law
• comprehensive health insurance
• dental insurance
• vision insurance
• basic life insurance
• accidental death and dismemberment insurance
• supplemental life insurance
• spouse/domestic partner and dependent life insurance
• spouse/domestic partner and dependent accidental death and dismemberment insurance
• short-term disability
• long-term disability
• long-term care
• business travel accident insurance
• disability insurance
• legal assistance
• 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
• Number of Employees: 1,001-5,000 employees