Principal Analyst, Manipulation

FINRA; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Job summary

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex surveillance reviews and identify violations of federal securities, FINRA and RSA Client Exchange rules. The role includes mentoring staff, leading projects, and coordinating with enforcement and external agencies.

The candidate will oversee surveillance development, stay current on industry trends, and collaborate in a hybrid work environment with travel as needed.

Qualifications

• Bachelor’s degree and a minimum of seven (7) years of experience in the securities/financial services industry or equivalent.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934.
• Experience identifying potential securities rule violations.
• Experience working on routine projects independently; some experience on complex projects.
• SIE certification or acceptable industry equivalent required upon hire or within 16 months.

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.
• Develops new analytics, surveillance tools or processes to detect fraud and improve surveillance methods.
• Communicates with firms, registered and associated persons, investors, and others.
• Guides team members in documenting review steps and results, including referrals to Enforcement and outside agencies.
• Demonstrates subject matter expertise and coaches colleagues in techniques and responsibilities.
• Leads special projects and completes them timely and accurately.
• Works independently on routine and complex projects.
• Represents FINRA in internal meetings.
• Demonstrates FINRA values in interactions with colleagues, members, and outside parties.
• Collaborates in-person and virtually to advance FINRA’s mission.
• Participation in ongoing surveillance initiatives and industry trend tracking.

Skills

Surveillance lifecycle

Mentoring

Communication

Project leadership

Education

Bachelor's degree

SIE certification

Job description

This Principal Analyst position within Regulatory Operations Surveillance and is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities, FINRA and RSA Client Exchange rules. Mentors other staff and guides them in the completion of their routine surveillance reviews.

Essential Job Functions:

• 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.
• Conducts processes for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity, maintaining and enhancing surveillance methods, and developing improved approaches for uncovering violations at the organization's firms.
• Communicates both verbally and in writing with firms, registered and associated persons, investors, and others.
• Guides team members in the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
• Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
• Participates actively in and plays a leading role in special projects, and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department.
• Works independently on routine projects; ability to work independently on complex projects.
• Represents FINRA in internal meetings.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Other Responsibilities:

• Participates in initiatives across Surveillance
• Remains current on industry trends, practices, and regulatory impacts

Education/Experience Requirements:

• 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.
• Experience identifying potential securities rule violations.
• Experience working on routine projects independently; some experience working independently on complex projects.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Working Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Hours may extend beyond normal business hours.
• Travel will be required, as necessary.

For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations. Los Angeles, CA: $112,300 - $146,000
San Francisco, CA: $117,200 - $152,000
Boston, MA: $112,300 - $202,500
Chicago, IL: $107,500 - $194,100
Denver, CO: $97,700 - $176,100
Jericho, NY: $112,300 - $202,500
Jersey City, NJ: $117,200 - $211,400
Philadelphia, PA: $107,500 - $194,100
New York, NY: $117,200 - $211,400
Rockville, MD: $112,300 - $202,500
Tysons, VA: $112,300 - $202,500
Washington, DC: $112,300 - $202,500
Woodbridge, NJ: $112,300 - $202,500
Connecticut State: $97,700- $211,400
Washington State: $97,700- $211,400

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Washington state applicants: click here

Search Firm Representatives

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