Analyst, Regulatory Review & Disclosure at FINRA in Rockville, Maryland

Job Description:

The Analyst performs a variety of specific duties depending on the core function to which assigned. Core functions in Regulatory Review and Disclosure (RR&D) include but not limited to disclosure review of Uniform Forms U4, U5, U6, BD, and BDW, Public Records Review, Criminal History Record Information (CHRI), Statutory Disqualification, Expungements, Formal Disciplinary Actions (FINRA, SEC, and other Self-Regulatory Organizations (SRO)) and review of related Court Documents. Includes applying basic analytical skills to help support RR&D processes and supporting functions and utilizing applicable systems. This is a junior-level professional position in which incumbents are learning their assigned roles, attaining newly learned skills and working under direct supervision.

Essential Job Functions:

This position will review a caseload, as trained and assigned, of specific RR&D functions.  The Analyst is learning his/her assigned functions and performing essential functions with increasing independent analysis, judgment, and discretion.  Case assignments are more basic working towards more complex. 

• Research, review, analyze and process uniform form filings U4, U5, U6, BD, BDW and CHRI to ensure compliance with Web CRD filing requirements, as well as FINRA, SRO, and SEC rules, regulations and statutes.  Identify and/or remove individual/firm filing deficiencies with appropriate constituents via Web CRD or other appropriate communication vehicles.


• Based on research, review and analysis, determine whether or not an individual or organization is subject to statutory disqualification (SD) and/or perform applicable Expungement activities.  This includes, among other things, analyzing court documents (e.g., criminal, civil, regulatory) and utilizing Lexis-Nexis, Court Link and other resources to research and analyze state and federal statutes.  Contact county, state, and federal courts as needed to obtain required documentation when not otherwise available.


• Review, identify and analyze disciplinary actions taken against individuals and organizations by FINRA, the SEC and other Federal, State and other SRO’s, as well as FINRA Arbitration Statements of Claims and Awards to determine if they meet uniform form reporting requirements.  If so, summarize as appropriate and create Form U6 filing and submit to Web CRD.  Determine applicable sanction effective dates and notify respondents and their firms of the sanction dates and regulatory requirements.


• Draft summaries for inclusion in the monthly Disciplinary and Other FINRA Actions Regulatory Notice publication ensuring completeness and accuracy of all summarized disciplinary matters.


• Research, review and handle organization name reservations.


• Assist firms and other regulators with Mass Transfer requirements/process.  Schedule, process, and execute Mass Transfers.


• Research and respond to correspondence and/or Tier II telephone inquiries from FINRA firms, other FINRA departments, regulators and/or other constituents regarding CRD filing requirements, registration related FINRA rules and regulations, and other related matters. Escalate calls to appropriate persons as needed.


• Report and escalate, with recommendations for handling, outstanding issues to Senior Analysts, Associate Principal Analysts, and/or RR&D management.


• Analysts are able to complete a fair workload across multiple functions and are expected to meet and/or exceed the established goals in performing RR&D reviews at the end of the training period.   Analysts also contribute towards RR&D ad-hoc reports or projects, work well with others, model leadership skills when appropriate and continue to learn new functions or skills as needed.

Other Responsibilities:

• Uses basic statistical and quantitative techniques to analyze data researched. 


• Assists in reviewing, documenting, developing, enhancing, and supporting RR&D systems and processes. 


• Assists in the testing and recommendation of technologies to improve RR&D systems and process efficiencies.


• Maintain essential skills by attending training programs and participation in required meetings.


• Perform other duties required to maintain the effective operation of the RR&D Units, CRED and FINRA.

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; or an equivalent combination of education and experience.


• Well-developed interpersonal skills; excellent verbal and written communication skills.


• Research and analytical skills.


• Demonstrated organizational skills and the ability to multitask; Attention to detail.


• Proficiency of Windows PC environment as well as MS Office; working knowledge of LexisNexis preferred.

Working Conditions:

• Work in an open office environment.


• Frequent use of the telephone, PC, and other systems/ software applications (e.g., online research, LexisNexis and/or other FINRA regulatory systems, etc.).


• Evening and weekend work occasionally required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $68,400, Maximum Salary $126,600

CO/HI/MN/VT*: Minimum Salary $59,500, Maximum Salary $105,500

IL*: Minimum Salary $65,800, Maximum Salary $116,000

Jersey City, NJ/NY, NY: Minimum Salary $71,400, Maximum Salary $126,600

MD/Washington, DC: Minimum Salary $68,400, Maximum Salary $121,200

WA: Minimum Salary $59,500, Maximum Salary $121,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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.

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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 application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 

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 of 15 days of paid time off, 5 personal days and 9 sick days (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.

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 and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

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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