Regulatory Analyst

Essential Job Functions

• Counsels on and conducts routine and complex assessments and analysis of FINRA firms’ Corporate Financing filings and related investigative matters.
• Analyzes filings for violations of rules, regulations, statutes, and policies.
• Drafts well-written correspondence and analysis.
• Delivers high-quality work product that reflects and leverages acquired knowledge, training, feedback, and guidance with limited corrections.
• Maintains awareness of workflow and task completion.
• Responds to internal and external requests and inquiries regarding filings reviews.
• Escalates complex and/or sensitive matters and developments related to member, issuer or registered person filings to second reviewers and/or managers.
• Participates in and contributes to internal and external meetings related to assigned work.

Education/Experience Requirements

• Bachelor’s degree in Finance, Accounting, Business, or related field.
• At least three (3) years of related industry experience.
• Must demonstrate initiative to work on projects involving data analytics.
• Excellent written and oral communication skills.
• Excellent organizational skills.
• Must be detail-oriented.
• Ability to manage assigned work and multiple priorities.
• Excellent time-management and problem-solving skills.