Analyst, CAT Surveillance

Rockville, MD
Sep 11, 2021
Sep 20, 2021
Full Time
An analyst position within the FINRA Consolidated Audit Trail (CAT) Compliance Surveillance Team. The analyst will support the Director and will work closely with Technology Staff in the development and execution of targeted CAT data queries, tracking, analysis and review of CAT Reporter Compliance. Additionally, this position will assist CCO and Director on projects supporting the CAT Compliance Surveillance Team as well as other assignments as warranted in support of FINRA CATs Office of the CCO. Display knowledge of data analysis technology resources. Utilize proficiency in BDSQL to execute targeted CAT data queries. Conduct routine CAT Reporter Compliance surveillance and other reviews and ensures resolution or escalation of compliance reporting issues is completed in a timely manner. Attend technology meetings and work with regularly work with Technology staff to gain knowledge of query tools available, Portals and surveillance requirements. Assist Director in interacting with SROs and to support the regulation of CAT reporting and assist regulators with data queries Interact with CAT Reporters as appropriate, to support and promote effective CAT reporting and make them aware of any potential issues and provide guidance. Assist Director in providing information and reports on CAT Reporter compliance to SROs and SEC as warranted. Assist in providing regular and ad hoc reports, as well as other updates to the CAT NMS Plan Participants and various committees often under tight deadlines. Assist Director in managing the monthly CAT Report Card program, as well as other methods of error reporting notifications. Also, assist in providing training for SROs or internal staff regarding the review of CAT Report Cards. Perform routine analysis of CAT Reporting data to look for trends that may impact CAT Reporter Compliance or CAT data integrity in both the aggregate and the individual CAT Reporter level and assist in making related recommendations with a goal of improving data integrity. Regularly meet with the Director and CCO and other leaders as appropriate to provide periodic progress reports. Work collaboratively with others on the FINRA CAT team. Research and respond to Compliance inquiries sent by the CAT Help Desk and accurately update the FINRA CRM tracking system with a resolution in a timely manner. Post Help Desk Cases to the CRA Portal on a daily basis for regulatory access. Assists in develops business requirements and participates in User Acceptance Testing (UAT) Conducts special projects, as assigned Identify regulatory and industry issues impacting surveillance Attend and actively participate in departmental training Demonstrate effective verbal and written communication skills Education/Experience Requirements: Bachelors degree or equivalent work experience demonstrating research/analytical skills. Major in Finance, Accounting, Business or related field preferred. Knowledge of technology resources. Proficiency in BDSQL preferred. Knowledge of securities industry rules, regulations and guidelines preferred. Excellent written and verbal communication skills required. 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. . . Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. Important Information FINRAs Code of Conduct imposes restrictions on employees investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. 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