Market Operations Analyst, Transparency Services

FINRA • Rockville, MD

3d • $61,300 - $130,400 • Hybrid

About The Position

The Market Operations Analyst is an entry-level professional role providing exceptional client service and operational support to industry members while monitoring trading and quoting activities across FINRA Trade Reporting Systems. This role applies client service excellence and analytical skills to resolve market operations issues, supports member firm compliance, and helps maintain marketplace integrity. This position builds expertise in market operations through hands-on experience, mentoring from experienced staff, and exposure to diverse market scenarios. Essential Job Functions: Provides excellent internal/external client service to member firms, SROs, other FINRA departments, and vendors; intakes, researches, resolves, and documents issues Monitors intra-day trading in all FINRA Trade Reporting systems and reviews system-generated alerts for anomalous trading activity including price and volume discrepancies; ensures member firm compliance with established FINRA rules and regulations Monitors and addresses trading halts and resumptions for over-the-counter, foreign, and exchange-listed securities Maintains relevant databases and systems supporting marketplace operations Recommends courses of action based on review of identified trading or system issues Confers with senior staff and subject matter experts for guidance on complex issues Develops 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 and collaborates both in-person and virtually in furtherance of FINRA's mission of investor protection and market integrity

Requirements

• Bachelor's degree preferably in Finance, Economics, or Business and a minimum one (1) year of professional experience
• 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
• Foundational knowledge of FINRA/SEC trading rules preferred

Responsibilities

• Provides excellent internal/external client service to member firms, SROs, other FINRA departments, and vendors; intakes, researches, resolves, and documents issues
• Monitors intra-day trading in all FINRA Trade Reporting systems and reviews system-generated alerts for anomalous trading activity including price and volume discrepancies; ensures member firm compliance with established FINRA rules and regulations
• Monitors and addresses trading halts and resumptions for over-the-counter, foreign, and exchange-listed securities
• Maintains relevant databases and systems supporting marketplace operations
• Recommends courses of action based on review of identified trading or system issues
• Confers with senior staff and subject matter experts for guidance on complex issues
• Develops 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 and collaborates both in-person and virtually in furtherance of FINRA's mission of investor protection and market integrity

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes 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.
• FINRA offers immediate participation and vesting in a 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, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes 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); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 1,001-5,000 employees