About Careertakes

👉 Important disclosure: Careertakes is a third-party recruiting platform supporting this hiring process. If selected, you will be employed directly by our client, Legal.

Applicants for this role may also receive access to additional matched opportunities through the Careertakes platform.

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Position overview

Confidential Client is hiring an entry-level Analyst, Regulatory Review & Disclosure to support regulatory operations in Rockville, MD (hybrid). This role reviews and analyzes regulatory filings, public records, disciplinary actions, criminal history information, statutory disqualification matters, expungement materials, and related court documents. The Analyst applies research, analytical, and problem‑solving skills to ensure compliance with CRD, SEC, SRO, and other regulatory requirements. This is an individual contributor role that works under direct supervision. Employment type: Full time (Contractor/Full-time).

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What You’ll Do

• Review and process assigned regulatory registration and disclosure filings and criminal history record information following established procedures and regulatory requirements.
• Research public records, court documents, and regulatory materials using approved tools and criteria to support statutory disqualification and expungement activities.
• Review disciplinary actions, arbitration claims/awards, and enforcement actions to identify reportable information and prepare required regulatory filings.
• Prepare accurate disciplinary summaries from source documents using established templates for inclusion in regulatory notices.
• Process organization name reservation requests and assist with mass transfer activities, verifying information and escalating exceptions.
• Respond to routine inquiries from member firms, regulators, internal departments, and other stakeholders about CRD filings, registration rules, and regulatory obligations.
• Document issues, complete routine follow-up, and escalate complex or unresolved matters to senior staff or RR&D management per procedures.
• Collaborate in-person and virtually to support investor protection and market integrity.
• Demonstrate Confidential Client’s values in everyday work.

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What We’re Looking For

• 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 and the ability to interact professionally with internal and external stakeholders.
• Strong research and analytical ability — comfortable reviewing records, applying criteria, and escalating appropriately.
• Excellent organizational skills, attention to detail, and the ability to manage multiple assignments to meet quality and timeliness standards.
• Proficiency with Microsoft Office and ability to learn regulatory, case-management, and online research systems.
• Experience with LexisNexis or similar legal research tools is preferred.
• Professionalism, integrity, and an ability to follow established regulatory procedures.

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Working Conditions & Location

• Hybrid work environment with defined in-person presence requirements in Rockville, MD.
• This is an entry-level role that requires both independent work and collaboration with supervisors and team members.
• May require standard office hours and occasional additional hours to meet deadlines; overtime eligibility follows federal, state, and local law.

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Compensation & Benefits

• Salary range for this location (Rockville, MD): $72,300 - $127,900 per year.
• Actual compensation depends on factors such as experience, skills, education, and market conditions.
• Benefits may include health, dental, and vision insurance; life and disability coverage; 401(k) with match; paid time off (starting at 15 days, increasing with tenure); paid holidays; tuition reimbursement; commuter benefits; and other employee wellness programs. Eligibility and specific offerings are determined by Confidential Client and applicable policy.

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Additional Information

• This position requires compliance with employer-specific policies related to conflicts of interest, confidentiality, and any regulatory disclosure obligations that apply to employees in regulatory roles.
• Confidential Client is an Equal Opportunity Employer and will consider qualified applicants without regard to legally protected categories. Reasonable accommodation for applicants with disabilities is available — contact the employer for details.

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Equal Opportunity & Hiring Transparency

Careertakes and our client are Equal Opportunity Employers committed to building a diverse and inclusive workforce. We prohibit discrimination or harassment of any kind. To support a fair and efficient hiring process, AI tools may be used to assist with application review or resume screening. These tools do not replace human decision-making. Final hiring decisions are made by people.

If you have questions about how your data is used, please contact us directly.