Lead Regulatory Surveillance Analyst

FINRA; Los Angeles (CA); Hybrid; USD 112,000 - 146,000; Full time

Benefits offered by this job

Health insurance

401(k) with company match

Tuition reimbursement

Job summary

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex surveillance reviews with minimal supervision and identify violations of federal securities laws and FINRA rules. The role also involves mentoring staff and guiding colleagues through review steps and documentation.

Responsibilities include developing analytics, testing surveillance tools, communicating with firms and investors, and leading special projects to advance business goals.

Qualifications

• Bachelor’s degree and a minimum of seven (7) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Demonstrated understanding of surveillance development lifecycle and goal attainment skills.
• Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.

Responsibilities

• Conducts routine reviews in search of possible violations of rules and federal securities laws with minimal supervision.
• Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, and advisories.
• Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
• Represents FINRA in internal meetings.

Skills

Surveillance reviews

Regulatory knowledge

Coaching/mentoring

Communication

Education

Bachelor's degree

Job description

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex surveillance reviews with minimal supervision and identify violations of federal securities laws and FINRA rules. The role also involves mentoring staff and guiding colleagues through review steps and documentation.

Responsibilities include developing analytics, testing surveillance tools, communicating with firms and investors, and leading special projects to advance business goals.