Market Operations Analyst, Transparency Services
FINRA is the Financial Industry Regulatory Authority, and they are seeking a Market Operations Analyst to provide exceptional client service and operational support. The role involves monitoring trading activities, ensuring compliance with FINRA rules, and developing expertise in market operations through hands-on experience and mentorship.
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
- 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 Overview