Attorney in Rockville, MD

Profile

Analyst, Regulatory Review and Disclosure, CRED Duties: Performs a variety of specific duties depending on the core function to which assigned. Core functions in Regulatory Review and Disclosure include but not limited to disclosure review of Uniforms Form U4, U5, U6, BD, and BDW, Public Records Review, Criminal History Record Information (CHRI), Statutory Disqualification, Expungements, Formal Disciplinary Actions (SEC, and other SROs) and review of related Court Documents. Includes applying basic analytical skills to help support RR&D processes and supporting functions, and utilizing applicable systems. Work in which incumbents are learning their assigned roles, attaining newly-learned skills and working under direct supervision. Review a caseload, as trained and assigned, of specific RR&D functions. The Analyst is learning his/her assigned functions and performing essential functions with increasing independent analysis, judgment, and discretion. Case assignments are more basic working towards more complex. Assumes Analyst is able to develop into a Senior Analyst, once fully trained and demonstrating ability to perform duties required of a Senior Analyst. Research, review, analyze and process uniform form filings U4, U5, U6, BD, BDW and CHRI to ensure compliance with Web CRD filing requirements, as well as SRO, and SEC rules, regulations and statutes. Identify and/or remove individual/firm filing deficiencies with appropriate constituents via Web CRD or other appropriate communication vehicles. Based on research, review and analysis, determine whether or not an individual or organization is subject to statutory disqualification and/or perform applicable Expungement activities. This includes, among other things, analyzing court documents (e.g., criminal, civil, regulatory) and utilizing Lexis-Nexis, Court Link and/or CCH to research and analyze state and federal statutes. Contact county, state, and federal courts as needed to obtain required documentation when not otherwise available. Review, identify and analyze disciplinary actions taken against individuals and organizations, the SEC and other Federal, State and Self Regulatory authorities, as well as arbitration statements of claim and awards/final decisions, to determine if they meet uniform form reporting requirements. If so, summarize as appropriate and create Form U6 filing and submit to Web CRD. Determine applicable sanction effective dates and notify respondents and their firms of the sanction dates and regulatory requirements. Coordinate as well as assist with the preparation of drafts for the disciplinary actions section of the Regulatory Notices and determining information to be provided to the National Adjudicatory Council (NAC) regarding respondents in review before the NAC. Research, review and handle organization name reservations. Assist firms and other regulators with Mass Transfer requirements/process. Schedule, process, and execute Mass Transfers. Research and respond to correspondence and/or Tier II telephone inquiries from firms, other departments, regulators and/or other constituents regarding CRD filing requirements, registration related FINRA rules and regulations, and other related matters. Escalate calls to appropriate persons as needed. Report and escalate, with recommendations for handling, outstanding issues to Senior Analysts. Associate Principal Analysts, and/or Manager(s). Analysts are able to complete a fair workload across multiple functions and are expected to meet and/or exceed the established goals in performing RR&D reviews at the end of the training period. Analysts also contribute towards RR&D ad-hoc reports or projects, work well with others, model leadership skills when appropriate and continue to learn new functions or skills as needed. Uses basic statistical and quantitative techniques to analyze data researched. Assists in reviewing, documenting, developing, enhancing, and supporting RR&D systems and processes. Assists in the testing and recommendation of technologies to improve RR&D systems and process efficiencies. Maintain essential skills by attending training programs and participation in required meetings. Perform other duties required to maintain the effective operation of the RR &D Units, Credentialing, Registration, Education, and Disclosure (CRED) department.

Qualification and Experience

Requirements: Bachelor’s degree with a legal and/or business concentration or related field. Paralegal or law background desirable. 1 year of directly related experience. Well-developed interpersonal skills; excellent verbal and written communication skills. Research and analytical skills. Demonstrated organizational skills and the ability to multitask; Attention to detail. Proficiency of Windows PC environment as well as MS Word, Excel, and Access; working knowledge of LexisNexis preferred.

Additional info

Ref. R-002912

Company info