Principal Analyst, Financial Disclosure & Trading

## Principal Analyst, Financial Disclosure & Trading Apply:
Rockville, MD (Job Posting):
Washington, DC (Job Posting):
New York, NY (Job Posting):
Full time:
Posted Yesterday:
R-010272

The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for performing activities intended to ensure the accuracy and timeliness of employee financial disclosures and the detection and resolution of trading violations. The Principal Analyst represents ECO at internal speaking engagements and develops written content on financial disclosures and trading restriction compliance for use within Code of Conduct guidance materials and training programs.

This position is an experienced individual contributor who works independently with minimal supervision while maintaining strict confidentiality of sensitive financial and personal information.
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* Essential Job Functions:

*** Responds to oral and written inquiries from employees and managers across FINRA regarding financial disclosures and trading restriction requirements, including moderately complex scenarios.
* Reviews employee account disclosures for quality and compliance issues. Addresses incomplete or untimely disclosures and escalates systemic issues with recommendations to management.
* Consults with employees, managers, and candidates for hire on Code policy requirements, financial disclosure obligations, trading restriction policies, and hardship waiver eligibility. Documents consultations within the case management system and escalates complex or sensitive matters as appropriate.
* Evaluates trading violations identified through surveillance sweeps and self-reports, calculates required disgorgements, and recommends resolutions within established criteria. Escalates matters requiring deviation from those criteria.
* Manages prohibited securities waiver requests, conducts financial hardship analyses, and monitors approved waivers to ensure liquidation requirements are met. Communicates with employees and their management throughout the process.
* Maintains and administers the Prohibited Company List (PCL), ensuring accurate and timely updates. Collaborates with FINRA departments to obtain and validate source data, coordinates with technology partners, and conducts quality review of deliverables. Identifies and communicates system discrepancies or enhancement needs to management and technology partners.
* Develops written content on financial disclosure and trading restriction policies for the Code's Procedures and Guidelines, FINRAnet guidance, and training materials. Conducts Code of Conduct roadshow presentations to help FINRA staff and managers avoid compliance missteps.
* Demonstrates FINRA’s values.
* Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.##

Other Responsibilities:

* Actively participates in development and testing of technology enhancements.  ## Education/Experience Requirements:
* Bachelor’s degree in Finance, Economics, Business, or related field and a minimum of seven (7) years of experience in a securities-related compliance program.
* Expert-level knowledge of securities and options products, transactions, and account types is required. Familiarity with broker-dealer back-office operations is a plus.
* Excellent verbal and written communication skills are required. The position involves extensive interaction with employees and managers at all levels of the organization; tact, courtesy, and professionalism are essential.
* Demonstrated ability to independently manage multiple deadlines and competing priorities. Strong organizational skills and attention to detail are required.
* Strong analytical and critical thinking…