Lead Regulatory Surveillance Analyst

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Benefits offered by this job

Health insurance

401(k) plan with company match

Paid time off

Job summary

Financial Industry Regulatory Authority, Inc. (FINRA) is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex reviews for potential violations of federal securities laws and FINRA rules.

The role includes mentoring staff and guiding surveillance processes. The position involves developing analytics, leading projects, and representing FINRA in internal meetings while working in a hybrid environment with travel as needed to uphold investor protection and market

Qualifications

• Bachelor's degree and 7+ years in securities/financial services.
• Understanding of surveillance development lifecycle and goal attainment.
• Experience identifying potential securities rule violations.

Responsibilities

• Conduct routine surveillance reviews for violations of federal securities laws and FINRA rules.
• Research rules, regulations, guidelines, advisories and provide updates to management.
• Develop analytics and surveillance tools to detect fraudulent activity and improve methods.
• Communicate with firms, registered and associated persons, investors and others.
• Guide team members in documenting review steps and results, including referrals to Enforcement.
• Mentor and train colleagues in techniques and responsibilities.
• Lead special projects and ensure timely, accurate delivery to advance business goals.
• Work independently on routine and complex projects.
• Represent FINRA in internal meetings.
• Demonstrate FINRA values in interactions with colleagues and external parties.
• Stay current on industry trends and regulatory impacts.

Skills

Surveillance knowledge

Mentoring

Communication

Independent work

Education

Bachelor's degree

SIE certification

Job description

Financial Industry Regulatory Authority, Inc. (FINRA) is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex reviews for potential violations of federal securities laws and FINRA rules.

The role includes mentoring staff and guiding surveillance processes. The position involves developing analytics, leading projects, and representing FINRA in internal meetings while working in a hybrid environment with travel as needed to uphold investor protection and market