Analyst, FCAT Business Operations

This is a multi-faceted position in which the Analyst will work with internal and external constituents toward the successful implementation and maintenance of the Consolidated Audit Trail (“CAT”) reporting for Industry Members.

Additionally, this position will assist senior staff and management on more complex assignments and projects.

This is professional work in which incumbents work under the guidance and supervision of their manager.

This position generally requires the analyst to work in the Rockville office two days per week, as assigned by senior management.

Essential Job Functions:


* Interfaces with members, peers, management and others regarding potential business issues related to the CAT


* Provides excellent internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail.


* Assists in the development of written guidance in the form of FAQs, Alerts and reports related to area of responsibility


* Uses expertise on SEC Rule 613, the CAT NMS Plan rules and related technical specifications to respond to inquiries from internal and external customers


* Confers with staff and subject matter experts for guidance on more complex issues, as appropriate.


* Assists in the maintenance of the CAT NMS Plan Website.

Experience with Drupal and CKEditor is desired.


* Develop written guidance and training programs regarding potential business and technical issues related to the CAT.


* Presents information (verbally and written) to management, and other constituents in an organized, concise and timely fashion.


* Identifies and reports customer service issues along with observed trends to senior management


* Utilizes computer resources and software applications as necessary to develop tracking spreadsheets, PowerPoint presentations, and internal and external reports.

Experience with Confluence is desired.


* Conducts special projects, as assigned.

Education/Experience Requirements:


* Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating knowledge of regulatory reporting and analytical skills.

And a minimum of one (1) year of directly related experience.


* Knowledge of relevant FINRA/SEC rules and regulations.


* Knowledge of securities markets and member firm operations


* Ability to provide exceptional customer service.


* Ability to interact with a variety of stakeholders.

Competence using a desktop computer with the full suite of office software applications.


* Demonstrated excellent written and verbal communication skills required.


* Demonstrated ability to accomplish specific mission and goals through excellent performance on special projects.


* Demonstrated ability to anticipate and serve internal/external customer needs.


* Understands regulatory reporting processes.

Working Conditions:


* Work is normally performed i...