Senior Analyst, TS Market Operations
Core
Conducts reviews and analysis of Over-the-Counter equity securities to identify potential violations of federal securities and FINRA rules, ensuring market integrity and investor protection.
Role type
Senior individual contributor regulatory analyst
Builds
Regulatory case files, analytical reports, and risk assessments for FINRA
Domain
Financial services / Securities regulation
Deliverable
dashboards & analysis
Required skills
Regulatory expertise (FINRA, Securities Exchange Act), financial statement analysis, case management, risk assessment, analytical thinking, written and verbal communication
Preferred skills
Experience with analytics tools development, process improvement methodologies
Technologies
Case management systems
Responsibilities
Evaluate submissions against federal securities laws and FINRA rules to assess risk; review documentation and corporate filings for accuracy; maintain case management records and track deadlines; document case activities and outcomes; communicate findings to management via reports and presentations; participate in development and testing of analytics tools and investigative methodologies.
Seniority
Senior, hands-on IC