The Corporate Actions Analyst performs a variety of specific duties depending on the section to which assigned, generally including assisting in the day-to-day operational functions of the OTC market in the processing of Corporate Actions.
This is junior-level professional work in which incumbents perform their assigned roles, develop job-related skills, and work under limited supervision.
Essential Job Functions:
- Performs investigative research and analysis on corporate action submissions regarding dividends, bankruptcies, liquidations, rights offerings, redemptions, splits, name changes and trading symbol changes for Over The Counter companies.
- Utilizes computer resources and software applications for managing and tracking cases.
- Responds to inquiries from Member Firms, SRO’s, Issuers, Exchanges, American Depository Receipt Banks, other FINRA departments, and Data Vendors
- Contributes to the development and enhancement of section policies and procedures
- Provides advice, guidance, and instruction to entry-level Analysts
- Recommends subsequent course of action to be taken to management
- Maintains the relevant databases that support the operation of the marketplace.
- Maintains cases including all relevant documentation in CRM Application and ensure resolution within allotted timeframe.
- Confers with senior staff and management for guidance in other areas of the association for guidance on highly complex issues.
- Performs research, reading, and consultation in order to maintain substantial knowledge of the rules, regulations and guidelines that apply to the type of analysis being performed