Senior Analyst, Compliance

    • Rockville, MD

The Senior Analyst conducts routine reviews of moderate complexity in search of unusual market activity for evidence of violations of applicable federal securities laws and FINRA and/or RSA client rules and regulations and assists senior staff on more complex assignments. This is competent-level professional work in which incumbents are refining and expanding skills, and working under limited supervision and moderate guidance.

  • Demonstrate superior knowledge of the assigned program: Attend and actively participate in department training; Attend internal and/or external seminars when required; Demonstrate a strong understanding of the preventive compliance process;
  • Possess high-level proficiency in all assigned areas/reviews, procedures, and FINRA and/or RSA client, and SEC rules; Identify, research and analyze data independently; conduct lead and/or solo investigations of moderate complexity with moderate supervision; Properly document and clearly present examination findings; When necessary, assist other analysts in conducting routine examinations.
  • Effectively and efficiently manage the daily workload to ensure tasks are completed within department/management time frames: Start, complete, and revise assigned exams within the established timeframes; Notify supervisor on a timely basis of any circumstances that may cause material changes to the projected completion dates.
  • Utilize computer resources and software applications for data analysis in the investigative/review process: Effectively utilize these resources in documenting routine reviews and investigations; All related activities (time and milestone dates) must be entered accurately, completely and timely in accordance with Department policy.
  • Effectively communicate and coordinate with member firms and fellow analysts: Demonstrate effective verbal and written communication skills; Share knowledge of markets with less experienced staff; conduct effective background/trading desk interviews and exit conferences; Prepare and submit well-organized, detailed, and accurate examination reports; Periodically update your manager on exam progress; Take initiative and request additional assignments when workload permits; Work with more experienced staff to further enhance knowledge base.


Education/Experience Requirements:
  • Bachelor’s degree or equivalent work experience demonstrating research/analytical skills.
  • Major in Finance, Accounting, Business or related field preferred.
  • At least four (4) years of related experience required.Â
  • Knowledge of securities industry rules, regulations and guidelines preferred.
  • Excellent written and verbal communication skills required.
  • Competence using a desktop computer with the full suite of office software applications required.


Working Conditions:
  • Work is normally performed in an office environment.
  • Extended hours and overnight travel are required.Â
  • Ability to work under pressure.Â
  • Attention to detail is essential.Â
  • Strong verbal and written communication skills and technical capabilities are essential to position.


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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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 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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