Analyst, Cat Helpline - Rockville, United States - Finra

Finra

Verified Company

Rockville, United States

3 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

The Helpline Analyst provides specialized technical support to the Consolidated Audit Trail Industry Members, working with internal and external parties.

This role involves applying analytical skills to research, process requests, and handle issues of moderate complexity with supervision and guidance.

Essential Responsibilities:

Collaboration with industry members, regulatory users, management, and others to address potential business and technical challenges related to the CAT system.
Handling incoming calls, investigating, resolving, and documenting moderate complexity issues.
Offering top-notch customer service in the area of regulatory responsibility, particularly the Consolidated Audit Trail.
Addressing customer inquiries by providing support for CAT functionality and navigation.
Assisting firms with questions on validation and error correction.
Recording customer inquiries in the CRM system for reference.
Building expertise on SEC Rule 613, CAT NMS Plan rules, and technical specifications.
Mentoring junior analysts and providing training to end users.

Education/Experience Requirements:

Bachelor's degree in Finance, Economics, or Business with at least two years of related experience, or equivalent combination of education and experience.
Preferred experience in the financial industry with knowledge of regulatory reporting and analytical skills.
Familiarity with FINRA/SEC rules and regulations, securities markets, and member firm operations.
Excellent customer service and communication skills.
Ability to engage with various stakeholders including Industry Members and regulatory staff.

Working Conditions:

Office-based role with occasional travel.

Compensation:

California: Salary Range $68,400 - $126,600
Washington, DC: Salary Range $68,400 - $121,200
Colorado/Hawaii: Salary Range $59,500 - $105,500
New York, NY: Salary Range $71,400 - $126,600
Washington State: Salary Range $59,500 - $121,200

-Hybrid role.

The above information outlines the general responsibilities of the position and does not cover all duties and qualifications.

FINRA employees may be eligible for bonuses and a range of benefits including health, dental, vision insurance, life insurance, disability coverage, retirement plans, tuition reimbursement, and more.

FINRA supports employee well-being with a generous paid time-off program, volunteer days, paid leave programs, and holiday benefits.

All applicants are required to adhere to FINRA's policies on confidentiality and comply with company protocols.