1 день назад
Senior Analyst, TS Market Operations (Securities Regulation)
83 300 - 148 600$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Analyst, TS Market Operations (Securities Regulation): Reviewing and analyzing over-the-counter equity securities, financial statements, corporate filings, and regulatory submissions to identify potential violations and support market integrity and investor protection with an accent on regulatory analysis, risk assessment, and case management. Focus on evaluating complex securities matters, documenting investigative findings, developing analytics tools and methodologies, and presenting conclusions to senior management.
Location: Rockville, Maryland, United States; hybrid work environment with defined in-person requirements and occasional travel.
Salary: $83,300–$148,600 annually for work performed in Maryland, Virginia, Massachusetts, or Washington, DC.
Company
is a securities regulator focused on market integrity and investor protection.
What you will do
- Review and analyze over-the-counter equity securities, financial statements, corporate filings, and regulatory documentation.
- Evaluate submissions under federal securities laws, rules, and other self-regulatory organization requirements.
- Identify potential securities rule violations, assess risks, and recommend appropriate regulatory responses.
- Maintain case records, milestones, deadlines, follow-up actions, analytical approaches, communications, outcomes, and referrals.
- Prepare clear written reports and presentations for management and communicate analytical conclusions.
- Participate in developing and testing analytics tools, investigative methodologies, and process improvements for corporate action reviews.
Requirements
- Bachelor’s degree and at least three years of experience in the securities or financial services industry, or an equivalent combination of education and professional experience.
- Working knowledge of and other SRO rules, the Securities Exchange Act of 1934, and related regulations.
- Experience reviewing and analyzing financial statements, corporate filings, and regulatory documentation.
- Ability to identify potential securities rule violations and apply risk assessment methodologies in a regulatory context.
- Strong analytical, critical-thinking, organizational, written, and verbal communication skills.
- Experience with case management systems and the ability to manage multiple cases, deadlines, and priorities.
Culture & Benefits
- Hybrid collaboration in person and virtually, with opportunities to work with senior staff and management.
- Health, dental, vision, life, disability, long-term care, legal, and business travel insurance.
- Immediate participation and vesting in a 401(k) plan with company match, plus eligibility for an additional employer-funded retirement contribution.
- Paid time off, personal and sick days, paid holidays, volunteer service days, and additional family, parental, military, jury duty, and bereavement leave.
- Tuition reimbursement, commuter benefits, backup family care, adoption and surrogacy assistance, employee assistance, and wellness programs.
- Employment is subject to investment and securities account restrictions and required financial disclosures.
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