Associate Principal Analyst, Market Surveillance

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Health insurance

401(k) with company match

Tuition reimbursement

Commuter benefits

Wellness programs

Job summary

FINRA is seeking an Associate Principal Analyst in the Surveillance section of Regulatory Operations to conduct routine surveillance reviews of moderate to high complexity and identify unusual market activity for evidence of violations of federal securities laws and FINRA rules. Hybrid work environment; travel as needed; salary ranges vary by location.

Responsibilities include anomaly detection, reporting, and development of surveillance analytics, with a focus on coaching colleagues and

Qualifications

• Bachelor’s degree and at least four years in securities/financial services.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934.

Responsibilities

• Analyze trading activity for indications of potential violations.
• Research rules, regulations, advisories, and develop new analytics or surveillance tools.
• Prepare organized reports and document review steps and results.
• Coach colleagues in techniques and processes and work on special projects.

Skills

Surveillance analysis

Regulatory knowledge

Data interpretation

Training others

Education

Bachelor's degree

SIE certification or equivalent

Job description

FINRA is seeking an Associate Principal Analyst in the Surveillance section of Regulatory Operations to conduct routine surveillance reviews of moderate to high complexity and identify unusual market activity for evidence of violations of federal securities laws and FINRA rules. Hybrid work environment; travel as needed; salary ranges vary by location.

Responsibilities include anomaly detection, reporting, and development of surveillance analytics, with a focus on coaching colleagues and