FINRA is the Financial Industry Regulatory Authority, Inc., and they are seeking an Analyst for their Corporate Actions Transparency Services. The role involves assisting in the day-to-day operational functions of the OTC market, reviewing and analyzing corporate action submissions, and maintaining relevant databases.
Responsibilities
- Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies
- Utilizes computer resources and software applications for managing and tracking cases
- Assists Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors Contributes to the development and enhancement of section policies and procedures
- Works with senior staff and management regarding subsequent course of action to be taken Maintains the relevant databases that support the operation of the marketplace
- Maintain cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe
- Confers with senior staff and management as needed for guidance on complex issues
- Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed
- Demonstrates FINRA’s values
- Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
Skills
- Bachelor's degree in finance, law, business, economics and a minimum of one (1) year of related industry experience in a regulatory or financial markets environment
- Competency using a desktop computer with the full suite of office software applications
- Communication skills and the ability to interact with internal/external parties at varying levels
- Ability to work under pressure
- Attention to detail
- Ability to handle multiple projects/assignments simultaneously with competing priorities
Benefits
- Employees may be eligible for a discretionary bonus in addition to base pay.
- Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
- FINRA provides comprehensive health, dental and vision insurance.
- Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
- FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement.
- Commuter benefits.
- Other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
- 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
- Two volunteer service days (based on full-time schedule).
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
- Full-time employees receive nine paid holidays.
- Hybrid work environment, with defined in-person presence requirements.
Company Overview
The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent. It was founded in 2007, and is headquartered in Washington, District of Columbia, USA, with a workforce of 1001-5000 employees. Its website is http://www.finra.org.