Analyst, Regulatory Review & Disclosure

The Analyst in Regulatory Review & Disclosure (RR&D) is responsible for supporting operations by reviewing, analyzing, and processing regulatory filings, public records, disciplinary actions, criminal history information, statutory disqualification matters, expungements, and related court documents. The role applies analytical, research, and problem-solving to ensure compliance with FINRA, SEC, SRO, and Central Registration Depository program (CRD) requirements while utilizing applicable systems and resources. This position is an entry-level professional individual contributor who works under direct supervision.

Essential Job Functions:

• Reviews and processes assigned regulatory registration and disclosure filings and criminal history record information in accordance with established procedures and applicable regulatory requirements; identifies routine deficiencies and escalates exceptions for guidance.

• Researches public records, court documents, and regulatory information using approved tools and defined criteria to support statutory disqualification and expungement-related activities.

• Reviews assigned disciplinary actions, arbitration claims and awards, and regulatory enforcement actions to identify potentially reportable information and prepare regulatory filings using established requirements and guidance.

• Prepares accurate disciplinary summaries from source documents and established templates for review and inclusion in FINRA’s Monthly Disciplinary and Other FINRA Actions Regulatory Notice publication.

• Processes organization name reservation requests and supports assigned mass transfer activities by verifying information, completing established process steps, and escalating exceptions.

• Researches and responds to routine inquiries from member firms, regulators, FINRA departments, and other stakeholders regarding CRD filings, registration rules, regulatory obligations, and related matters.

• Recognizes and documents issues within assigned work, completes routine follow-up, and escalates complex, unusual, or unresolved matters to senior staff or RR&D management in accordance with established procedures.

• Demonstrates FINRA's values.

• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelor’s degree with a legal and/or business concentration and a minimum of one (1) year of related industry work experience.

• Effective verbal and written communication skills, with the ability to interact professionally with internal and external stakeholders.

• Research and analytical skills, including the ability to review information, apply established criteria, and escalate matters as appropriate.

• Strong organizational skills and attention to detail, with the ability to manage multiple assignments and meet established quality and timeliness standards.

• Proficiency in Microsoft Office and the ability to learn and use regulatory, case management, and online research systems; experience with LexisNexis or similar legal research tools preferred.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.

For work that is performed in CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. 

 

Boston, MA: $72,300 - $127,900

Chicago, IL: $69,500 - $122,500

Denver, CO: $62,800 - $111,400

Jericho, NY: $72,300 - $127,900

Jersey City, NJ: $75,300 - $133,700

Philadelphia, PA: $69,500 - $122,500

New York, NY: $75,300 - $133,700

Rockville, MD: $72,300 - $127,900

Tysons, VA: $72,300 - $127,900

Washington, DC: $72,300 - $127,900

Woodbridge, NJ: $72,300 - $127,900

Connecticut State: $62,800 - $133,700

Washington State: $62,800 - $133,700

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

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. As part of its dedication to employee wellness, 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, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing 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.

*Based on full-time schedule

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.

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.

Washington state applicants: click here for required notice(s).

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 Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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 Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

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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