May 19, 2015

Job Posting: Financial Industry Regulatory Authority

FINRA is hiring two positions: Senior Analyst and Manager, both in the Office of Ombudsman in Rockville, MD. 

The Senior Analyst will work with FINRA constituents and departments to explore options to help resolve conflicts, problematic issues or concerns. Specifically and with limited supervision, the Senior Analyst will conduct an initial triage of incoming cases and complaints, research and respond to rule and policy related inquiries, resolve moderate to complex concerns, and departmental pattern analysis. Applicants must have a Bachelor’s degree and at least five years work experience.

Along with the duties of Senior Analyst, the Manager will assist in surfacing and bringing systemic concerns to the attention of the FINRA Ombudsman. Specifically and with minimal supervision, the manager conducts moderate to complex reviews and investigations and ensures appropriate resolution, as well as independently receive, research and respond to constituent inquiries related to securities industry rules and industry and FINRA rules and policies.  Applicants must have at least seven years of business experience, with a minimum of three years of compliance, investigative or alternative dispute resolution experience, and knowledge of securities industry rules or relevant securities industry experience required. No salary or deadline indicated.  (LinkedIn Jobs.)

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