Attorney in Rockville, MD

Public Interest

Rockville, MD

Attorney in Rockville, MD

Non-practicing Attorney

Max 2 yrs required

No

Job Title: Corporate Actions Analyst, Transparency Services
Salary Range: $61,300-$130,400 per year
Location: Rockville, MD
Organization: FINRA
Job Type: Full-time

H1: Join FINRA as a Corporate Actions Analyst in Rockville, MD!
H2: Exciting opportunity with competitive salary and benefits!

FINRA, a leading regulatory organization in the financial industry, is seeking a Corporate Actions Analyst to join their Transparency Services team in Rockville, MD. In this entry-level professional role, you will have the opportunity to develop job-related skills and work under direct supervision while assisting in the day-to-day operational functions of the OTC market.

Responsibilities:

- Review and analyze corporate action submissions for Over The Counter companies
- Utilize computer resources and software applications for managing and tracking cases
- Assist various stakeholders such as Member Firms, SRO's, Issuers, and Exchanges
- Contribute to the development and enhancement of section policies and procedures
- Work with senior staff and management on complex issues and subsequent courses of action
- Maintain relevant databases and ensure resolution of cases within allotted timeframe
- Conduct research and stay up-to-date on rules and regulations related to corporate actions

Requirements:

- Bachelor's degree in finance, law, business, economics, or related discipline
- 1-2 years of experience in a regulatory or financial markets environment preferred
- Competency using a desktop computer and office software applications
- Strong communication and interpersonal skills
- Ability to work under pressure and handle multiple projects with competing priorities

Salary Information:

- CA: Minimum $70,500, Maximum $130,400
- CO/HI/MN/VT*: Minimum $61,300, Maximum $108,700
- IL*: Minimum $67,800, Maximum $119,500
- Jersey City, NJ/NYC, NY: Minimum $73,500, Maximum $130,400
- MA/WA: Minimum $61,300, Maximum $124,800
- MD/Washington, DC: Minimum $70,500, Maximum $124,800
- NJ State: Minimum $67,800, Maximum $130,400
- NY State: Minimum $61,300, Maximum $130,400

*Including positions performed outside the state but reporting to an office or manager in that state.

Benefits:

- Discretionary bonus in addition to base pay
- Overtime pay for non-exempt employees
- Comprehensive health, dental, and vision insurance
- Additional insurance options for life, disability, and long-term care
- 401(k) plan with company match and additional retirement contribution
- Tuition reimbursement and commuter benefits
- Paid time off for holidays, vacations, personal days, and sick leave
- Volunteer service days to support the community
- Other benefits for wellness, such as adoption assistance and employee assistance programs

Important Information:

- FINRA's Code of Conduct requires employees to disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions, including disposing of securities on FINRA's Prohibited Company List, within three months of starting employment
- Employees may only maintain disclosed securities accounts at firms that provide an electronic feed to FINRA
- Employees must also sign a confidentiality agreement and comply with the company's policy on nepotism

To Apply:

If you are interested in this position, please submit an application on the FINRA Careers site.

DISCLAIMER: The above information is not a comprehensive inventory of all duties, responsibilities, and qualifications required for the position.

FINRA is an equal opportunity employer and values diversity in its workforce. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws.

FINRA abides by the requirements of 41 CFR ) and ) prohibiting discrimination against qualified individuals with disabilities and protected veterans, respectively.

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