Associate Principal Analyst, CAT Business Operations

Rockville, MD
Nov 14, 2020
Nov 29, 2020
Full Time
This is a multi-faceted position in which the Analyst will work with internal and external constituents toward the successful implementation and maintenance of the Consolidated Audit Trail (CAT) reporting for Industry Members. This is experienced-level professional work in which incumbents work under moderate guidance and minimal supervision.Essential Job Functions:Interfaces with members, peers, management and others regarding potential business and technical issues related to the CAT.Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.Develops written guidance in the form of FAQs, Alerts and reports related to area of responsibility.Develops an expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.Confers with senior staff and subject matter experts for guidance on complex issues as appropriate.Compiles and organizes information from a variety of sources used in the development of written guidance and training programs.Participates in development and UAT of business requirements.Presents information (verbally and written) to management, and other constituents in an organized, concise and timely fashion.Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and PowerPoint presentations.Conducts regulatory reporting and error correction processes.Education/Experience Requirements:Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills. And a minimum of five (5) years of directly related experience.General knowledge of relevant FINRA/SEC rules and regulations.General knowledge of securities markets, member firm operations, books and records.Ability to provide exceptional customer service.Ability to interact with a variety of stakeholders.Competence using a desktop computer with the full suite of office software applications.Excellent written and verbal communication skills required.Understands regulatory reporting and error correction processes.Working Conditions: Work is normally performed in an office environment with potential for occasional travel.To be considered for this position, please submit an application. 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.Please note: If the Apply Now button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.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 FINRAs accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. 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