Analyst, Corporate Actions Transparency Services
FINRA is the Financial Industry Regulatory Authority, Inc., and they are seeking an Analyst for their Corporate Actions Transparency Services. The role involves assisting in the day-to-day operational functions of the OTC market, reviewing and analyzing corporate action submissions, and maintaining relevant databases.
Responsibilities
- Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies
- Utilizes computer resources and software applications for managing and tracking cases
- Assists Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors Contributes to the development and enhancement of section policies and procedures
- Works with senior staff and management regarding subsequent course of action to be taken Maintains the relevant databases that support the operation of the marketplace
- Maintain cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe
- Confers with senior staff and management as needed for guidance on complex issues
- Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed
- Demonstrates FINRA’s values
- Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
Skills
- Bachelor's degree in finance, law, business, economics and a minimum of one (1) year of related industry experience in a regulatory or financial markets environment
- Competency using a desktop computer with the full suite of office software applications
- Communication skills and the ability to interact with internal/external parties at varying levels
- Ability to work under pressure
- Attention to detail
- Ability to handle multiple projects/assignments simultaneously with competing priorities
Benefits
- Employees may be eligible for a discretionary bonus in addition to base pay.
- Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
- 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.
- Commuter benefits.
- Other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
- 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
- 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.
- Hybrid work environment, with defined in-person presence requirements.
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