Analyst, CAT Helpline

The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct research and coordinate processing of requests and issues. This is competent-level professional work in which incumbents are refining and expanding skills, and working under supervision and guidance.

Essential Job Functions:

• Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system
• Intakes calls, researches, resolves and documents issues of moderate complexity
• Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.
• Respond to customer requests by providing functional and navigational support for CAT.
• Assists firms with moderately complex questions regarding validation and linkage error correction.
• Confers with senior Help Desk staff and subject matter experts for guidance on complex issues as appropriate.
• Document all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller’s firm, and type of data/technical request and questions.
• Develops a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications.
• Mentors junior analysts.
• Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and identifying trends
• Provide end user training and advice.

Education/Experience Requirements:

• Bachelor's degree in Finance, Economics, or Business with a minimum of two (2) years of related experience or the equivalent combination of education and experience. 
• Experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills is preferred.
• Knowledge of relevant FINRA/SEC rules and regulations. 
• Knowledge of securities markets, member firm operations, books and records.
• Excellent customer service skills.
• Ability to interact with a variety of stakeholders such as Industry Members and SRO/SEC regulatory staff. 
• Competence using a desktop computer with the full suite of office software applications.
• Excellent written and verbal communication skills required.

Working Conditions:

• Work is normally performed in an office environment with potential for occasional travel.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY 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.

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

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

Colorado/Hawaii: Minimum Salary $59,500, Maximum Salary $105,500
New York, NY: Minimum Salary $71,400, Maximum Salary $126,600
Washington State: Minimum Salary $59,500, Maximum Salary $121,200

#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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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 ve