financial industry regulatory authorityEastern, KY
Senior Analyst, Financial Disclosure & Trading Compliance
Senior Analyst, Financial Disclosure & Trading Compliance
Senior Analyst, Financial Disclosure & Trading Compliance
financial industry regulatory authorityEastern, KY
yesterday
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceRegulation, Licensing, and Inspection of Miscellaneous Commercial Sectors
Apply for this 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
Also on the board Same function, level within a rung
Level
Lead
Location
Eastern, KY
Occupation
Securities, Commodities, and Financial Services Sales Agents
Industry
Investment Banking and Securities Intermediation
Posted
yesterday