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FINRA · 1 day ago

Market Operations Analyst, Transparency Services

Rockville, MD (Job Posting)

Full-time

Hybrid

Entry Level

$70K/yr - $130K/yr

1+ years exp

FINRA is the Financial Industry Regulatory Authority, and they are seeking a Market Operations Analyst to provide exceptional client service and operational support to industry members. This role involves monitoring trading activities and ensuring compliance with FINRA rules while building expertise in market operations through hands-on experience and mentoring.

FinanceFinancial ServicesNon Profit

Culture & Values

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

Qualification

Client service skillsAnalytical skillsFinance knowledgeCommunication skillsTrading rulesAttention to detailOrganizational skillsInterpersonal skills

Required

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

Preferred

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

Childbirth and parental leave

Nine paid holidays

Company

FINRA

Glassdoor4.0

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.

Founded in 2007

Washington, District of Columbia, USA

1001-5000 employees