Lead Analyst, Securities Surveillance & Compliance

Jobtailor; Colorado; On-site; USD 85,000 - 120,000; Full time

Job summary

Jobtailor in Colorado is seeking a Compliance & Surveillance Analyst to scrutinize trading activity for potential securities violations and support the development of analytics and detection methods. You will prepare clear, well-documented reports and collaborate with cross-functional teams to enforce FINRA, MSRB, and federal rules.

Ideal candidates hold a Bachelor's degree with 4+ years in securities, and possess FINRA SIE certification or equivalent, with the ability to coach peers and stay

Qualifications

• Bachelor's degree or equivalent with 4+ years in securities/financial services.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB, SRO rules, and the Securities Exchange Act of 1934.

Responsibilities

• Investigate trading activity to detect potential securities law violations.
• Research evolving regulations and share timely updates with the team.
• Develop analytics and surveillance tools to counter evolving fraud tactics.
• Prepare detailed, accurate reports documenting findings.
• Document review steps and outcomes, including referrals.
• Coach colleagues on techniques and best practices in the industry.
• Contribute to special projects and cross-team initiatives.
• Work on routine projects with guidance toward independence.
• Live FINRA values: Responsibility, Innovation, Collaboration, Expertise.
• Stay current on industry trends and regulatory developments.
• Collaborate with Surveillance and other teams on initiatives.

Skills

Trading Activity Analysis

Regulatory Research

Surveillance Technology Development

Report Preparation

Project Management

Coaching

Collaboration

Communication

Goal-Attainment

Education

Bachelor's degree

SIE Certification

Job description

Jobtailor in Colorado is seeking a Compliance & Surveillance Analyst to scrutinize trading activity for potential securities violations and support the development of analytics and detection methods. You will prepare clear, well-documented reports and collaborate with cross-functional teams to enforce FINRA, MSRB, and federal rules.

Ideal candidates hold a Bachelor's degree with 4+ years in securities, and possess FINRA SIE certification or equivalent, with the ability to coach peers and stay