Samuel F. Song
- Role
- Senior Analyst, Consolidated Audit Trail Helpdesk at FINRA
- Location
- Washington, DC, US
- LinkedIn followers
- 500 followers
About Samuel F. Song
Accounting, Finance, & Fraud Examiner professional in the DC metropolitan area.
Experience
Senior Analyst, Consolidated Audit Trail Helpdesk
Sep 2022 — Present
The Helpdesk Analyst works with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies knowledge of industry standards to conduct research and coordinate processing of requests and issues. Essential Job Functions: • Interfaces with industry members, regulatory users, peers, management and others regarding potential business and technical issues related to the CAT system. • Intakes calls, researches, resolves and documents issues of moderate complexity • Provides internal/external customer service in specialized area of regulatory responsibility, namely the Consolidated Audit Trail. • Respond to customer requests by providing functional and navigational support for CAT. • Assists firms with correcting errors in validation and linkage. • Confers with senior Help Desk staff and subject matter experts for guidance on complex issues as appropriate. • Document all incoming customer inquiries into the CRM system to provide detailed information on the caller, the caller’s firm, and type of data/technical request and questions. • Maintains a proficiency on SEC Rule 613, the CAT NMS Plan rules and related technical specifications. • Participates in the development and training of junior analysts. • Utilizes computer resources and software applications as necessary to develop tracking spreadsheets and identifying trends • Provide end user training and advice. • Assist with modifying and/or enhancing existing procedures. • Participates in UAT of business requirements.
Education
University of Maryland Global Campus
Master of Science (M.S.)
2020 — 2021
St. Lawrence University
Bachelor of Arts (B.A.)
2014 — 2018
University of the West Indies, St. Augustine Campus
Semester abroad
2017 — 2017
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