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FINRA is seeking a well-qualified individual for our
Analyst, Shared Service – Fixed Income
To be considered for this position, please submit your resume through our career site at
– no phone calls, please.
implementing, monitoring, and coordinating national programs focusing on Fixed Income and related FINRA regulatory matters.
Support external engagement with government agencies, other self-regulatory organizations, and regulated firms.
This position requires strong analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly.
Work under limited supervision and minimal guidance.
Essential Job Functions:
Support the uniform and consistent application of the rules of the Municipal Securities Rulemaking Board (MSRB) and related Securities and Exchange Commission (SEC) rules, as well as applicable FINRA rules regarding corporate, asset-backed, and government agency securities (e.g., TRACE).
Respond to questions about examination procedures and relevant rules.
Analyze exam result data to support FINRA’s obligation to share information with the MSRB and to identify areas in which exam procedures may need to be enhanced or additional examiner training may be necessary.
Research and identify rulemaking and rule amendments that affect the examination process.
Perform ad hoc research and data analysis of internal and external data sources in response to requests from management.
Support, in coordination with end users, the identification and development of requirements for new technology solutions and the enhancement of existing technology and procedures supporting the examination process.
Manage the technology development process to ensure successful and timely delivery of reports and tools.
Assist and support Regulatory Operations staff involved in surveillance and examination activities of member firms involved in a fixed income securities business.
Assist in providing advice to and technical support for the regulatory policy function within Regulatory Operations, including matters of common interest among FINRA departments, the MSRB, and the SEC.
Develop and supervise the maintenance of fixed income-related databases and reporting of related information to Member Regulation staff.
Maintain and enhance the Fixed Income page of the Member Regulation portal.
Supervise the reconciliation of MSRB registrant information against CRD information and resulting updates to internal databases (e.g., STAR) to ensure MSRB registrants are accurately identified.
Assist in providing guidance and training to FINRA staff to enhance understanding and enforcement of MSRB and FINRA (particularly those relating to TRACE) rules and interpretations.
Support coordination with the staff of the MSRB, SEC, and other FINRA departments to foster information exchange and cooperation between organizations and to obtain additional information and/or guidance for examination staff in support of the risk-based examination program.
Support the execution of FINRA’s fixed income program in an efficient and effective manner by, among other things, responding promptly to examiner questions and requests for information.
Develop and assert FINRA leadership qualities to motivate self and contribute to a productive team environment to achieve results.
Work collaboratively on teams comprising staff from multiple FINRA departments.
Effectively communicate with team members and other staff.
Help develop and maintain a positive and supportive work environment and culture.
Demonstrate and continue to develop a functional level of competency in fixed income in order to identify emerging trends, products, and risks to investors in the fixed income market.
Assist team members and management in identifying issues and problems and devising solutions.
Support Member Regulation decision-making by coordinating issues, policies, rules and other regulatory matters among various FINRA departments.
Participate in ad hoc special projects and national initiatives, as requested.
Participate in both internal and external regulator working group meetings to discuss transaction reporting, public finance rules, changes in information sharing between SROs, and other matters of mutual interest.
Ensure all assigned activities are completed according to prescribed policies and standards.
Provide status reports of assigned tasks or projects.
Maintain current knowledge of applicable business activities.
Fulfill administrative reporting tasks.
Bachelor’s Degree in Finance, Accounting, Business Administration or a related discipline preferred, with a minimum of three (3) accounting and/or finance courses required.
Advanced degree preferred.
A minimum of five (5) years of regulatory experience or work experience within the securities industry.
A strong understanding of the Member Regulation examination process or similar industry compliance experience.
Knowledge of federal securities laws, FINRA Rules of Fair Practice, and laws and regulations related to municipal securities.
Demonstrated ability to work under multiple time deadlines with minimal supervision.
Strong analytical, interpersonal, written, and verbal communication skills and competence with office software applications are essential.
Effective team skills, including the ability to work effectively with others, resolve issues, and support change.
A familiarity with FINRA systems and electronic data retrieval is desirable.
Work is normally performed in an office environment,
with extended hours when necessary.
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.
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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 FINRA’s 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. 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.
Code of Conduct
imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
FINRA’s independent regulation plays a critical role in America’s financial system and touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
Find out more about us and how we work—and view our current openings—at
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
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