Principal Analyst - CAT Business Operations

    • Rockville, MD

This is a multi-faceted position in which the Analyst will work with internal and external constituents toward the successful implementation and maintenance of the Consolidated Audit Trail (“CAT”) reporting for Industry Members. Additionally, this position will assist senior staff and management on more complex assignments and projects. This is advanced-level professional work in which incumbents work under limited guidance and minimal supervision.

Essential Job Functions:

  • Interfaces with members, peers, management and others regarding potential business and technical issues related to the CAT
  • Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
  • Develops written guidance in the form of FAQs, Alerts and reports related to area of responsibility
  • Uses  expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications to responds to complex regulatory compliance inquiries and technical problems from internal and external customers
  • Confers with senior staff and subject matter experts for guidance on more complex issues, as appropriate.
  • Provides feedback and recommendations to senior management on potential issues or areas requiring additional educational or training materials
  • Develops written guidance and training programs regarding potential business and technical issues related to the CAT.
  • Develops business requirements and leads UAT.
  • Presents information (verbally and written) to management, and other constituents in an organized, concise and timely fashion.
  • Provides feedback and recommendations to senior management on the efficiency and availability of all application and/or system related issues
  • Identify and report customer service issues along with observed trends to senior management
  • Provide guidance to more junior Analysts
  • Utilizes computer resources and software applications as necessary to develop tracking spreadsheets, PowerPoint presentations, and internal and external reports
  • Conducts special projects, as assigned


Education/Experience Requirements:
  • Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills. And a minimum of seven (7) years of directly related experience.
  • Advanced knowledge of relevant FINRA/SEC rules and regulations.Â
  • Advanced knowledge of securities markets, member firm operations, books and records.
  • Ability to provide exceptional customer service.
  • Ability to interact with a variety of stakeholders. Competence using a desktop computer with the full suite of office software applications.
  • Demonstrated excellent written and verbal communication skills required.
  • Clear and convincing demonstration that investigative, organizational and decision making capabilities are highly proficient.
  • Demonstrated ability to work closely with management to develop policies and goals that maximize the resources of the team
  • Demonstrated ability to accomplish specific mission and goals through excellent performance on special projects.
  • Demonstrated ability to anticipate and serve internal/external customer needs.
  • Understands regulatory reporting and error correction processes.
  • Ability to proactively identify regulatory issues and trends that warrant action.

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.

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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 restrictionsâ€"including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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.

You can read more about these restrictions here.

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.

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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