Trading Analyst Jobs

About The Position

Requirements

• Bachelor’s degree in Finance, Economics, or Business, or equivalent work experience in the financial services industry demonstrating research and analytical skills.
• At least five years of experience in a securities-related compliance program.
• Extensive knowledge of basic securities and options, securities and options transactions, and securities account types.
• Excellent verbal and written communication skills, tact, and courtesy.
• Demonstrated ability to manage multiple deadlines and priorities effectively.
• Excellent organizational and project management skills.
• Attention to detail, data analytical skills, accuracy, and critical thinking.
• Expertise using Microsoft Excel and Microsoft Word.
• Ability to function effectively in a team environment.
• Ability to work under pressure, meet deadlines, and manage multiple tasks efficiently and accurately.
• Ability to use a desktop computer daily.

Nice To Haves

• Familiarity with broker-dealer back-office operations.
• Experience with WebEx, PowerPoint, Access, and Adobe Acrobat.
• Ethics and compliance certification from a recognized industry association; sponsorship is available if needed.

Responsibilities

• Respond to increasingly complex oral and written inquiries from FINRA employees and managers about financial disclosure and trading restriction requirements.
• Review employee account disclosures for quality and apparent compliance issues, and address incomplete or untimely disclosures.
• Maintain electronic account feeds, investigate apparent issues, resolve them when possible, and escalate unresolved matters to the Associate Director.
• Consult with candidates for hire about financial disclosure requirements, trading restrictions, hardship waivers, and requirements to complete before starting at FINRA; record written synopses in the case management system.
• Evaluate trading violations identified through surveillance sweeps or self-reported by employees, calculate required disgorgements, and recommend resolutions under Office criteria.
• Manage prohibited securities waiver requests and related communications with employees and their management teams.
• Conduct financial hardship analyses and monitor approved waivers to ensure liquidation requirements are met.
• Support research and analysis for timely publication of FINRA’s Prohibited Company List, obtain source data from FINRA departments, review consultant work products, and conduct additional research as directed.
• Prepare presentation materials and accompany the Associate Director at Code of Conduct roadshow meetings.
• Draft guidance, training and awareness content on financial disclosures and trading restrictions for the Code’s Procedures and Guidelines and FINRAnet.
• Support cross-training of junior analysts and monitor the quality and timeliness of their work and communications.
• Draft updates to written procedures and present them to the Associate Director.
• Participate in the development and testing of technology enhancements.
• Maintain strict confidentiality when handling sensitive financial and personal information.
• Collaborate in person and virtually in support of FINRA’s mission and demonstrate FINRA’s values.

Benefits

• Comprehensive health, dental, and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, 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, 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.
• Two volunteer service days for full-time employees.
• Military, jury duty, bereavement, voting and election official, family-member care, childbirth, and parental leave.
• Nine paid holidays for full-time employees.
• Discretionary bonus may be available in addition to base pay.
• Non-exempt employees are eligible for overtime pay in accordance with applicable law.
• Membership in an ethics and compliance industry association will be provided.