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Senior Research Analyst - Emerging Regulatory Issues - Washington, DC at FINRA

Posted in Legal 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: Washington, Washington DC





Job Description:


We Work to Protect Investors. Join our Team.


 


The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Research Analyst opening in Washington, DC. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.


 


Job Summary:





The goal of the Office of Emerging Regulatory Issues (ERI) is two-fold: to identify emerging regulatory issues through a variety of information-gathering methods; and to coordinate FINRA’s response to those issues.  The Research Analyst in this position plays a central role in developing ERI’s research efforts related to emerging issues in the securities markets including organizing the ongoing review of multiple information sources, the identification of relevant issues, and analysis of market data.  This is a professional position in which the scope of the work will include developing familiarity with a wide variety of securities products and industry issues and apply enhanced research and data management techniques to assist ERI projects.






Essential Job Functions:





  • Compiles, analyzes and categorizes information from a variety of sources to help develop an overview of emerging issues.  

  • Works independently to research market developments and identify and compile vital information from the markets.  

  • Responsible for conducting research, leading meetings, developing written work product, and incorporating feedback from relevant parties while working collaboratively with other ERI staff. 

  • Presents findings and shares work products with senior management or with outside parties. 

  • Maintain relevant ERI reference databases; and perform reporting functions, such as tracking and posting internal and external research reports. 

Other Responsibilities:


  • Utilizing computer resources and software applications for data analysis; interfacing with peers, management, other regulators and industry representatives; and promoting the goals of ERI.

  • Other duties as assigned.


Education/Experience Requirements:



  • Bachelor’s degree in Finance, Economics, or Business and a minimum of two years of relevant work experience required; or equivalent combination of education and work experience.   

  • Strong research/analytical skills required, preferably from a financial institution, government or law firm setting.  

  • Familiarity with developments in the securities market and ability to readily acquire working knowledge of relevant FINRA/SEC rules and regulations. 

  • Strong communications skills, including both oral and written.  

  • Competency with desktop computers, Microsoft Word and Excel required.

  • Experience with Bloomberg, PowerPoint and SharePoint are a plus.



Working Conditions:



  • Normal office environment. 

  • Extended hours may be required. 

  • Occasional travel.



To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.


 


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 www.finra.org/careers 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 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.


 


Important Information


 


FINRA’s 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. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.


 


As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.


 


About FINRA


 


FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.


 


FINRA 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. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.


 


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. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.


 


Find out more about us and how we work—and view our current openings—at www.finra.org/careers.


 


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


 


All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.


 


FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.


 


FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.


 


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