Senior Analyst, Financial Disclosure & Trading Compliance
financial industry regulatory authorityEastern, KY
Senior Analyst, Financial Disclosure & Trading Compliance
financial industry regulatory authorityEastern, KY
yesterday
Occupations
Securities, Commodities, and Financial Services Sales AgentsCompliance ManagersCompliance OfficersIndustries
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceRegulation, Licensing, and Inspection of Miscellaneous Commercial SectorsAbout the role
The Principal Analyst for Financial Disclosure & Trading at FINRA in Rockville, MD is an experienced contributor who ensures accuracy and timeliness of employee disclosures and enforces trading restrictions. The role involves advising employees and managers, documenting consultations, and developing policy content for Code of Conduct materials and training. This position requires seven years of securities compliance experience, expert knowledge of broker-dealer operations, and strong
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JOB OVERVIEW
Experience level
Lead
Location
Eastern, KY
Occupation
Securities, Commodities, and Financial Services Sales Agents
Industry
Investment Banking and Securities Intermediation
Posted
yesterday
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