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Regulatory Analyst - Fixed Income
Rockville, MD
We are the largest non-governmental regulator for all securities firms doing business in the United States. All told, we oversee nearly 5,000 brokerage firms, about 174,000 branch offices and approximately 677,500 registered securities representatives. We are dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services. Job Description: The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by us. Essential Job Functions: Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into...
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