Senior Analyst, Financial Disclosure & Trading Compliance

Posted 2 days ago

financial industry regulatory authorityEastern (KY)

Securities, Commodities, and Financial Services Sales Agents Investment Banking and Securities Intermediation

SENIORITY

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About 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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