Analyst, Corporate Actions Transparency Services

Requirements

• bachelor's degree in finance, law, business, economics and a minimum of one (1) year of related industry experience in a regulatory or financial markets environment.
• competency using a desktop computer with the full suite of office software applications.
• communication skills and the ability to interact with internal/external parties at varying levels.
• ability to work under pressure.
• attention to detail.
• ability to handle multiple projects/assignments simultaneously with competing priorities.

Additional Information

The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of various Corporate Actions. This is entry-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under direct supervision. Essential Job Functions: - Reviews and analyzes corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies. - Utilizes computer resources and software applications for managing and tracking cases. - Assists Member Firms, SRO's, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors Contributes to the development and enhancement of section policies and procedures. - Works with senior staff and management regarding subsequent course of action to be taken Maintains the relevant databases that support the operation of the marketplace. - Maintain cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe. Confers with senior staff and management as needed for guidance on complex issues. - Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed. - Demonstrates FINRA's values. - Collaborates, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity. Education/Experience Requirements: - Bachelor's degree in finance, law, business, economics and a minimum of one (1) year of related industry experience in a regulatory or financial markets environment. - Competency using a desktop computer with the full suite of office software applications. - Communication skills and the ability to interact with internal/external parties at varying levels. - Ability to work under pressure. - Attention to detail. - Ability to handle multiple projects/assignments simultaneously with competing priorities. Work Conditions: - Hybrid work environment, with defined in-person presence requirements. - Rotating work schedule requires ability to work both an early and late schedule. - Extended hours may be required. For work that is performed in CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and market considerations. CO/FL/TX: Minimum Salary $62,800, Maximum Salary $111,400 IL/PA: Minimum Salary $69,500, Maximum Salary $122,500 MA/MD/VA/Washington, DC: Minimum Salary $72,300, Maximum Salary $127,900 NY/NJ: Minimum Salary $72,300, Maximum Salary $133,700 To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. Please note: If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our commu

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