Principal Analyst, Financial Disclosure & Trading
Core
Ensures accuracy and timeliness of employee financial disclosures and detects/resolves trading violations within FINRA's Ethics and Compliance Office.
Role type
Senior individual contributor compliance analyst
Builds
Compliance guidance materials, training programs, and policy procedures
Domain
Financial services / Securities regulation / Compliance
Deliverable
dashboards & analysis
Required skills
Securities and options product knowledge, Financial disclosure management, Trading violation evaluation, Policy development, Case management systems, Microsoft Excel
Preferred skills
Broker-dealer back-office operations, Power BI, Adobe Acrobat, Ethics and Compliance certification
Technologies
Microsoft Office Suite, Power BI, Adobe Acrobat, Co-Pilot
Responsibilities
Review employee account disclosures for compliance, Evaluate trading violations and calculate disgorgements, Manage prohibited securities waiver requests, Maintain the Prohibited Company List, Develop written compliance content and training materials, Consult with employees and managers on trading restriction policies
Seniority
Senior, experienced individual contributor