3 дня назад
Analyst, Regulatory Review & Disclosure
72 300 - 127 900$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Analyst, Regulatory Review & Disclosure (Financial Regulation): Reviewing and processing regulatory filings, public records, disciplinary actions, criminal history information, and court documents with an accent on regulatory compliance, legal research, and disclosure analysis. Focus on identifying reportable information, preparing regulatory summaries, resolving routine inquiries, and escalating complex matters under established FINRA and SEC requirements.
Location: Hybrid work with defined in-person presence in Rockville, Maryland; other listed locations include Tysons, Virginia, and several US offices and states.
Salary: $72,300–$127,900 annually for Rockville, MD; ranges vary by listed US location.
Company
is a securities regulator focused on investor protection and market integrity.
What you will do
- Review and process regulatory registration, disclosure, and criminal history filings.
- Research public records, court documents, disciplinary actions, arbitration matters, and regulatory enforcement actions.
- Identify reportable information and prepare regulatory filings and disciplinary summaries.
- Process organization name reservations and support mass transfer activities.
- Respond to routine inquiries from member firms, regulators, internal departments, and other stakeholders.
- Document issues, complete follow-up, and escalate complex or unresolved matters.
Requirements
- Bachelor’s degree with a legal or business concentration and at least one year of related industry experience.
- Strong verbal and written communication, research, analytical, organizational, and attention-to-detail skills.
- Ability to apply established criteria, manage multiple assignments, and meet quality and timeliness standards.
- Proficiency in Microsoft Office and ability to learn regulatory, case management, and online research systems.
- Experience with LexisNexis or similar legal research tools is preferred.
Culture & Benefits
- Hybrid collaboration supported both in person and virtually.
- Health, dental, vision, life, disability, and long-term care insurance.
- 401(k) plan with company match and additional retirement contribution eligibility.
- Tuition reimbursement, commuter benefits, wellness programs, and family support benefits.
- Paid time off, sick leave, paid holidays, volunteer days, and parental leave.
- Employment is subject to investment-account disclosure and securities-trading restrictions.
Будьте осторожны: если работодатель просит войти в их систему, используя iCloud/Google, прислать код/пароль, запустить код/ПО, не делайте этого - это мошенники. Обязательно жмите "Пожаловаться" или пишите в поддержку. Подробнее в гайде →
Похожие вакансии
6 дней назад
Senior Counsel
141 000 - 245 000$
4 дня назад
Senior Registered Advertising Compliance Analyst (Financial Services)
78 000 - 88 000$
6 дней назад
Paralegal (Investment Management)
56 100 - 98 600$
5 дней назад
Analyst, Compliance (Fintech)
63 860 - 106 399$
3 дня назад
Corporate Counsel (Fintech)
115 000 - 130 000$
5 дней назад
Associate General Counsel, Litigation (Fintech)
139 000 - 243 000$