Analyst, CAT Helpline

About the role

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues.

Responsibilities

• Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system
• Intakes calls, researches, resolves and documents issues of moderate complexity
• Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail
• Responds to customer requests by providing functional and navigational support for CAT
• Aids firms with moderately complex questions regarding validation and linkage error correction
• Confers with senior Help Desk staff and subject matter experts for guidance on complex issues as appropriate
• Documents all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller’s firm, and type of data/technical request and questions
• Develops a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications
• Mentors junior analysts
• Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and identifying trends
• Provides end user training and advice
• Demonstrates FINRA’s values
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity

Requirements

• Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience
• Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred
• Knowledge of relevant FINRA/SEC rules and regulations
• Knowledge of securities markets, member firm operations, books and records
• Excellent customer service skills
• Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff
• Competence using a desktop computer with the full suite of office software applications
• Excellent written and verbal communication skills required

Qualifications

Education/Experience Requirements: Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience. Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred. Knowledge of relevant FINRA/SEC rules and regulations. Knowledge of securities markets, member firm operations, books and records. Excellent customer service skills. Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff. Competence using a desktop computer with the full suite of office software applications. Excellent written and verbal communication skills required.

Skills

Required: Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience. Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred. Knowledge of relevant FINRA/SEC rules and regulations. Knowledge of securities markets, member firm operations, books and records. Excellent customer service skills. Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff. Competence using a desktop computer with the full suite of office software applications. Excellent written and verbal communication skills required.

Benefits

Not specified

Pay

Not specified

Schedule

Not specified