Operations Analyst Jobs

About The Position

Requirements

• 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

• Discretionary bonus
• Overtime pay
• 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 insurance
• Long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Legal insurance
• 401(k) plan with company match
• FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance program
• 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
• Care of a family member leave
• Childbirth and parental leave
• Nine paid holidays