Associate Principal Analyst, Market Manipulation

FINRA; Los Angeles (CA); Hybrid; USD 100.000 - 140.000; Vollzeit

Benefits dieser Stelle

Generous paid time off

401(k) with company match

Health/dental/vision insurance

Zusammenfassung

FINRA's Surveillance section, within Regulatory Operations, seeks an Associate Principal Analyst to perform routine reviews of moderate to high complexity, identifying unusual market activity and potential violations of federal securities laws and FINRA rules. The role involves analysing trading activity, researching rules, and developing advanced analytics to strengthen surveillance.

You will prepare detailed reports, document review steps, and may coach colleagues.

Qualifikationen

• Bachelor’s degree and at least four years of experience in the securities/financial services industry or an equivalent combination of education and experience.
• Understanding of surveillance development lifecycle and goal attainment skills.
• Experience identifying potential securities rule violations and working on routine projects independently.

Aufgaben

• Analyzes trading activity for indications of potential violations.
• Researches and provides updates on rules, regulations, and advisories.
• Develops analytics, surveillance tools, or processes to detect fraudulent activity and improve surveillance methods.
• Prepares well-organized, detailed reports of review steps and results.
• Coaches colleagues in techniques and responsibilities; works on special projects as needed.

Ausbildung

Bachelor’s degree

Jobbeschreibung

FINRA's Surveillance section, within Regulatory Operations, seeks an Associate Principal Analyst to perform routine reviews of moderate to high complexity, identifying unusual market activity and potential violations of federal securities laws and FINRA rules. The role involves analysing trading activity, researching rules, and developing advanced analytics to strengthen surveillance.

You will prepare detailed reports, document review steps, and may coach colleagues.