Analyst, Regulatory Review, Disclosure

FINRA

. Review, analyze, and process regulatory filings, public records, disciplinary actions, criminal history information, statutory disqualification matters, expungements, and related court documents .

Posted 10/16/2026full-timeUnited StatesJunior💰 $72,300 - $127,900 per yearWebsite

About the role

Key responsibilities & impact

Review, analyze, and process regulatory filings, public records, disciplinary actions, criminal history information, statutory disqualification matters, expungements, and related court documents
Review and process assigned regulatory registration and disclosure filings and criminal history record information according to established procedures and regulatory requirements
Identify routine deficiencies and escalate exceptions for guidance
Research public records, court documents, and regulatory information using approved tools and defined criteria
Support statutory disqualification and expungement-related activities
Review disciplinary actions, arbitration claims and awards, and regulatory enforcement actions for potentially reportable information
Prepare regulatory filings using established requirements and guidance
Prepare accurate disciplinary summaries for FINRA’s Monthly Disciplinary and Other FINRA Actions Regulatory Notice publication
Process organization name reservation requests
Support mass transfer activities by verifying information and completing established process steps
Research and respond to routine inquiries from member firms, regulators, FINRA departments, and other stakeholders
Recognize and document issues, complete routine follow-up, and escalate complex, unusual, or unresolved matters to senior staff or RR&D management
Collaborate in-person and virtually to support FINRA’s mission of investor protection and market integrity

Requirements

What you’ll need

Bachelor’s degree with a legal and/or business concentration
Minimum of one (1) year of related industry work experience
Effective verbal and written communication skills
Ability to interact professionally with internal and external stakeholders
Research and analytical skills
Ability to review information, apply established criteria, and escalate matters as appropriate
Strong organizational skills and attention to detail
Ability to manage multiple assignments and meet established quality and timeliness standards
Proficiency in Microsoft Office
Ability to learn and use regulatory, case management, and online research systems
Experience with LexisNexis or similar legal research tools preferred
Employees must comply with FINRA investment and securities account restrictions
Employees must disclose applicable brokerage accounts and authorize duplicate statements to FINRA
Employees must maintain disclosed securities accounts at firms providing an electronic feed to FINRA and move other accounts within three months of beginning employment
Must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification
Must comply with the company’s policy on nepotism

Benefits

Comp & perks

Discretionary bonus may be available in addition to base pay
Overtime pay for non-exempt employees
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off initially, increasing with years of service up to 25 days
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
9 paid holidays for full-time employees