Associate Principal Analyst, Financial Disclosure & Trading

Through its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. Using a significant knowledge of the Code of Conduct, investment accounts and securities products, the Analyst provides important contributions to this critical function of FINRA’s corporate governance. Using the Code of Conduct Compliance System and related resources, the Analyst performs activities intended to ensure the accuracy and timeliness of employee financial disclosures and reports regularly on the status of such to senior management.

The Analyst, with the guidance from the Associate Director, for the early detection and resolution of trading violations identified through surveillance sweeps and those self-reported by employees. In this role, the Analyst is gaining proficiency in the Code of Conduct and conducts research to aid in the development of written content on financial disclosures and trading restriction compliance for use within Code of Conduct guidance materials and training programs.

The Analyst participates with the Associate Director in consultations with employees at all levels concerning policy requirements and the resolution of violations, when those occur. Other responsibilities include evaluation of financial hardship waiver requests of increasing complexity and supporting the analysis and updating of FINRA Prohibited Company List. At all times the Analyst maintains strict confidentiality of sensitive financial and personal information.

The incumbent is defining their key skills across broader functional areas, working under limited supervision by the Associate Director.

Essential Job Functions:

Responds to oral and written inquiries of increasing complexity from employees and managers across FINRA concerning financial disclosure and trading restriction requirements.

Reviews the quality of employee account disclosures and identifies apparent compliance issues. Addresses incomplete or untimely disclosures.

Ensures timely maintenance of the electronic account feeds, investigating and resolving apparent issues. Escalates unresolved matters to the Associate Director.

Participates with the Associate Director in providing consultations to candidates for hire concerning the Code’s financial disclosure requirements and trading restriction policies, the availability of hardship waivers and requirements to be satisfied prior to starting work vides written synopsis within case management system.

With the Associate Director, the Analyst evaluates trading violations identified through surveillance sweeps and those self-reported by employees, calculates required disgorgements and recommends resolutions within the criteria established by the Office.

Responsible for prohibited securities waiver requests and related communications with the employee and their management team including, executive vice president. Conducts financial hardship analysis of increasing complexity, performs monitoring of approved waivers to ensure liquidation requirements are satisfied. Supports the Ethics Director in performance of research and analysis necessary to ensure timely publishing of the FINRA’s Prohibited Company List. Working with various FINRA departments, obtains and delivers the source data required for the consultant’s analyses.

Participates in reviewing the quality of all work products returned by the consultant and conducts further research, as directed.

Prepares presentation materials and accompanies Associate Director during Code of Conduct roadshow meetings intended to aid FINRA staff and managers avoid compliance missteps.

Drafts written content covering the financial disclosures and trading restriction policies for use within…