Analyst, Disclosure Review

The Analyst performs a variety of specific duties depending on the core function to which assigned.

Core functions in Regulatory Review and Disclosure (RR&D) include but not limited to disclosure review of Uniform Forms U4, U5, U6, BD, and BDW, Public Records Review, Criminal History Record Information (CHRI), Statutory Disqualification, Expungements, Formal Disciplinary Actions (FINRA, SEC, and other Self-Regulatory Organizations (SRO)) and review of related Court Documents.

Includes applying basic analytical skills to help support RR&D processes and supporting functions and utilizing applicable systems.

This is a junior-level professional position in which incumbents are learning their assigned roles, attaining newly learned skills and working under direct supervision.

Essential Job Functions:

This position will review a caseload, as trained and assigned, of specific RR&D functions.  The Analyst is learning his/her assigned functions and performing essential functions with increasing independent analysis, judgment, and discretion.  Case assignments are more basic working towards more complex. 



* Research, review, analyze and process uniform form filings U4, U5, U6, BD, BDW and CHRI to ensure compliance with Web CRD filing requirements, as well as FINRA, SRO, and SEC rules, regulations and statutes.  Identify and/or remove individual/firm filing deficiencies with appropriate constituents via Web CRD or other appropriate communication vehicles.


* Based on research, review and analysis, determine whether or not an individual or organization is subject to statutory disqualification (SD) and/or perform applicable Expungement activities.  This includes, among other things, analyzing court documents (e.g., criminal, civil, regulatory) and utilizing Lexis-Nexis, Court Link and other resources to research and analyze state and federal statutes.  Contact county, state, and federal courts as needed to obtain required documentation when not otherwise available.


* Review, identify and analyze disciplinary actions taken against individuals and organizations by FINRA, the SEC and other Federal, State and other SRO’s, as well as FINRA Arbitration Statements of Claims and Awards to determine if they meet uniform form reporting requirements.  If so, summarize as appropriate and create Form U6 filing and submit to Web CRD.  Determine applicable sanction effective dates and notify respondents and their firms of the sanction dates and regulatory requirements.


* Draft summaries for inclusion in the monthly Disciplinary and Other FINRA Actions Regulatory Notice publication ensuring completeness and accuracy of all summarized disciplinary matters.


* Research, review and handle organization name reservations.


* Assist firms and other regulators with Mass Transfer requirements/process.  Schedule, process, and execute Mass Transfers.


* Research and respond to correspondence and/or Tier II telephone inquiries from FINRA ...