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Associate Principal Analyst, Financial Disclosure & Trading at FINRA - ApplyBlast

Associate Principal Analyst, Financial Disclosure & Trading

FINRA

1 day ago

3.8 on Glassdoor

Tysons, Virginia, United States

Hybrid

Full Time

Senior

0 applicants

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About this role

The Associate Principal Analyst supports the Ethics Office in administering FINRA's Code of Conduct by ensuring the accuracy and timeliness of employee financial disclosures and monitoring trading compliance. The role involves reviewing account disclosures, resolving compliance issues, and consulting with employees on policy requirements and trading restrictions. The Analyst also contributes to the development of guidance materials, training programs, and the maintenance of the Prohibited Company List.

Responsibilities

Review employee financial disclosures and identify compliance issues
Evaluate trading violations and calculate required disgorgements
Draft written content for Code of Conduct guidance materials

Skills

Qualifications

Bachelor's degree in Finance, Economics, or BusinessEthics and Compliance certification

About FINRA

finra.org

Headquarters

Washington, District Of Columbia, United States

Company Size

1001-5000 employees

Founded

2007

View Profile

FINRA, the Financial Industry Regulatory Authority, is a nonprofit self-regulatory organization that oversees U.S. broker-dealers and securities markets. It works to protect investors and maintain market integrity through regulation, enforcement, licensing, arbitration and mediation services, and market surveillance. FINRA operates in the financial services and securities regulation industry.