Senior Analyst, TS Market Operations

FINRA • Rockville, MD

1d • Hybrid

About The Position

The Senior Analyst in Market Operations section of Transparency Services conducts reviews and analysis for Over-the-Counter equity securities to identify potential violations of applicable federal securities and FINRA rules and regulations, as well as ensuring market integrity and investor protection. This position is a professional individual contributor who works under close supervision in independent handling routine matters while collaborating with senior staff and management on complex issues.

Requirements

• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort
• Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and related professional experience.
• Working knowledge of FINRA and other SRO rules as well as the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Ability to identify potential securities rule violations.
• Demonstrated experience reviewing and analyzing financial statements, corporate filings, and regulatory documentation.
• Analytical and critical thinking skills with attention to detail.
• Written and verbal communication skills, including ability to prepare clear, concise reports and presentations for senior management.
• Experience with case management systems and documentation practices.
• Understanding of risk assessment methodologies in a regulatory context.
• Organizational skills with ability to manage multiple cases, deadlines, and priorities simultaneously.

Responsibilities

• Applies regulatory expertise in evaluating requests supporting FINRA’s mission to maintain market integrity and investor protection.
• Reviews and analyzes documentation, financial statements and corporate filings to verify accuracy and identify inconsistencies or omissions.
• Evaluates submissions against applicable federal securities laws and FINRA rules to assess risk and recommend appropriate regulatory responses.
• Maintains accurate case management records, tracking milestones, deadlines, and follow-up actions to ensure timely resolution of cases.
• Documents all case activities in accordance with departmental standards, including analytical approaches, stakeholder communications (internal and external), case steps, outcomes, and referral to Market Oversight or external agencies.
• Communicates case findings and analytical conclusions to management through clear, well-organized presentations and written reports that support informed decision-making.
• Demonstrates a culture of intelligence, integrity, and initiative in day-to-day interactions with the team.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Participates in development and testing of analytics tools, investigative methodologies, and process improvements that enhance the efficiency and effectiveness of corporate action reviews.
• Remains current on industry trends, practices and regulatory impacts.

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, short- and long-term disability, long-term care, business travel accident, disability and legal.
• 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: Senior