Analyst, FCAT Business Operations

This is a multi-faceted position in which the Analyst, FCAT will work with internal and external constituents toward the successful implementation and maintenance of the Consolidated Audit Trail (“CAT”) reporting for Industry Members. Additionally, this position will assist senior staff and management on more complex assignments and projects. This is professional work in which incumbents work under the guidance and supervision of their manager.

Essential Job Functions:

• Interfaces with members, peers, management and others regarding potential business issues related to the CAT.
• Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
• Assists in the development of written guidance in the form of FAQs, Alerts and reports related to area of responsibility.
• Uses expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications to respond to inquiries from internal and external customers.
• Confers with staff and subject matter experts for guidance on more complex issues, as appropriate.
• Assists in the maintenance of the CAT NMS Plan Website.
• Responsible for the development of written guidance and training programs regarding potential business and technical issues related to the CAT.
• Presents information (verbally and written) to management, and other constituents in an organized, concise and timely fashion.
• Identify and report customer service issues along with observed trends to senior management.
• Utilizes computer resources and software applications as necessary to develop tracking spreadsheets, PowerPoint presentations, and internal and external reports.
• Conducts special projects, as assigned.

Education/Experience Requirements:

• Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills. And a minimum of seven (1) year of directly related experience.
• Knowledge of relevant FINRA/SEC rules and regulations.
• Knowledge of securities markets and member firm operations
• Ability to provide exceptional customer service.
• Ability to interact with a variety of stakeholders. Competence using a desktop computer with the full suite of office software applications.
• Demonstrated excellent written and verbal communication skills required.
• Demonstrated ability to accomplish specific mission and goals through excellent performance on special projects.
• Demonstrated ability to anticipate and serve internal/external customer needs.
• Understands regulatory reporting processes.

Working Conditions:

• Work is normally performed in an office environment.
• Extended hours may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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/NYC, NY: Minimum Salary $71,400, Maximum Salary $126,600

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

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

NJ: Minimum Salary $65,800, Maximum $126,600

NY: Minimum Salary $59,500, Maximum Salary $126,600

*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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