Finra is a regulatory organization that oversees the securities industry, and they are seeking a Market Operations Analyst to provide exceptional client service and operational support. This role involves monitoring trading activities and ensuring compliance with FINRA rules, while building expertise in market operations through hands-on experience and mentoring.
Responsibilities
- Provides excellent internal/external client service to member firms, SROs, other FINRA departments, and vendors; intakes, researches, resolves, and documents issues
- Monitors intra-day trading in all FINRA Trade Reporting systems and reviews system-generated alerts for anomalous trading activity including price and volume discrepancies; ensures member firm compliance with established FINRA rules and regulations
- Monitors and addresses trading halts and resumptions for over-the-counter, foreign, and exchange-listed securities
- Maintains relevant databases and systems supporting marketplace operations
- Recommends courses of action based on review of identified trading or system issues
- Confers with senior staff and subject matter experts for guidance on complex issues
- Develops proficiency on relevant trading rules and market guidelines through ongoing research and consultation
- Identifies potential system and procedural enhancements based on frontline insights and customer feedback
- Demonstrates FINRA's values and collaborates both in-person and virtually in furtherance of FINRA's mission of investor protection and market integrity
Skills
- Bachelor's degree preferably in Finance, Economics, or Business and a minimum one (1) year of professional experience
- Demonstrated client service skills and demonstrated ability to interact professionally with member firms, SRO/SEC regulatory staff, and FINRA colleagues
- Interpersonal and communication skills, both written and verbal
- Analytical skills with ability to work with large datasets and identify trading anomalies and patterns
- Must demonstrate attention to detail, sound judgment, and solid organizational skills
- Foundational knowledge of FINRA/SEC trading rules
Benefits
- Comprehensive health, dental and vision insurance
- 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
- 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
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- Two volunteer service days
- 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)
- Childbirth and parental leave (available after 90 days of employment)
- Nine paid holidays
Company Overview
The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent. It was founded in 2007, and is headquartered in Washington, District of Columbia, USA, with a workforce of 1001-5000 employees. Its website is http://www.finra.org.
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