Regulatory Analyst,Options Regulation- New York, NY

Recruiter
Financial Industry Regulatory Authority (FINRA)
Location
New York
Salary
Competitive
Posted
Oct 07, 2016
Closes
Oct 19, 2016
Industry
Computer
Employer Type
Direct Employer
Employment Type
Permanent
Hours
Full Time
Job Board
NYCityWorks.com
We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Regulatory Analyst opening in New York, NY. To be considered for this position, please submit your resume through our career site at - no phone calls, please.

Job Summary:

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities laws, rules and regulations enforced by FINRA .

Essential Job Functions:
  • Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
  • Conducts routine reviews and investigations into possible violations of the securities laws, rules and regulations enforced by FINRA .
  • Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
  • Through the review/investigative process the Analyst resolves situations that may impact the integrity of all markets.
  • Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant securities laws, rules and regulations enforced by FINRA ; performs preventive compliance functions.
  • Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
  • Utilizes computer resources and software applications for data analysis pursuant to investigation / review procedures.
  • Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.
Education/Experience Requirements:
  • Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
44 - A minimum of one year of directly related experience. Knowledge of relevant securities laws, rules and regulations enforced by FINRA . Knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications.

45 - A minimum of three years of directly related experience. Substantial knowledge of relevant securities laws, rules and regulations enforced by FINRA . Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications.



Working Conditions:
  • Ability to work under pressure. Attention to detail is essential. Strong verbal and written communication skills and technical capabilities are essential to position. Some travel may be required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.



FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at . Please note that this number is exclusively for inquiries regarding application accommodations.

About FINRA

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.

All told, FINRA oversees roughly 4,000 securities firms and more than 643,000 brokers. FINRA performs various market regulation functions under contract for almost every equities market in the United States, including the New York Stock Exchange, NYSE Arca, NYSE MKT, NASDAQ, NASDAQ Options Market, NASDAQ OMX Philadelphia, NASDAQ OMX BX, BZX, BYZ, EDGA and EDGX Exchanges.

In addition, FINRA is responsible for regulating about 60 percent of the options market. FINRA performs various market regulation functions for the Chicago Board Options Exchange (CBOE), C2 Options Exchange and MIAX Options Exchange.

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 fact, FINRA processes, on average, 42 billion-and up to 75 billion-transactions every day to build a complete, holistic picture of market trading in the United States.

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 has approximately 3,600 employees and operates from Washington, DC, and New York, NY, with 17 offices around the country.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.



FINRA abides by the requirements of 41 CFR 60-741.5(a) . This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.



FINRA abides by the requirements of 41 CFR 60-300.5(a) . This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

??2016 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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