Financial Analyst Senior Specialist, Financial Operations Policy Group

Financial Industry Regulatory Authority (FINRA)
New York
Oct 17, 2016
Oct 19, 2016
Employer Type
Direct Employer
Employment Type
Full Time
Job Board
We Work to Protect Investors. Join our Team.

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

Job Summary:

Provide clarification, technical guidance, expert advice and education to FINRA staff and member firms on financial and operational topics. Respond to interpretive questions, review and provide guidance on regulatory matters and issues pertaining to SEC and FINRA financial responsibility and operational rules, including Net Capital, Customer Protection, Broker-Dealer Reports, and Books & Records rules, and other related rules and regulations.

Essential Job Functions:
  • Independently research and respond to interpretative questions, regulatory matters and issues related to SEC and FINRA rules, as referenced in Major Purpose section, and other rules. Participate in meetings with staff, member firms and/or other regulators to discuss and resolve financial and operational related interpretative questions.
  • Provide guidance on specific regulatory matters, member firm proposals and other initiatives.
  • Research proposed or new SEC and FINRA financial and operational rules and summarize key aspects for presentation to staff at educational and training sessions.
  • Maintain a high level of competency and expertise of SEC and FINRA financial responsibility and operational rules.
  • Lead and assist in the preparation and presentation of training sessions to FINRA staff on financial and operational matters and related regulatory issues.
  • Provide information for the preparation and publication of FINRA Regulatory Notices and rule interpretations.
  • As assigned, represent the department or FINRA on internal and external committees, meetings, conferences, training seminars and other events to discuss and provide technical advisement on financial and operational regulatory issues and other related initiatives.
Education/Experience Requirements:
  • Bachelor's Degree in Accounting, Finance with a minimum of 9 credits in accounting preferred.
  • Minimum eight years of securities industry experience in a regulatory, financial or operational capacity required. Knowledge of broker-dealer operations a plus.
  • Advanced technical knowledge of SEC and FINRA financial responsibility and operational rules.
  • Demonstrated ability to analyze complex matters and business practices arising from various broker-dealer business models, including self-clearing, carrying, dealer, market-maker and special products firms.
  • Strong interpersonal skills. Emphasis on teamwork and collaboration.
  • Ability to work independently applying depth and breadth of knowledge and expertise to various situations as they arise.
  • Proven advanced time management skills and ability to manage projects and work independently to bring projects to completion.
Working Conditions:
  • Work is performed in an office environment. Extended hours 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.


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.

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