Principal Analyst, Market Surveillance & Compliance

Financial Industry Regulatory Authority, Inc.; Denver (CO); Hybrid; USD 84,000 - 150,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) plan with company match

Job summary

FINRA's Surveillance team in Denver, CO is seeking an Associate Principal Analyst to conduct routine surveillance reviews of moderate to high complexity, focusing on unusual market activity for potential violations. The role offers a hybrid work environment and opportunities to work across multiple locations.

The ideal candidate holds a Bachelor's degree with 4+ years in securities or financial services, understands the surveillance development lifecycle, and has working knowledge of FINRA

Qualifications

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

Responsibilities

• Analyze trading activity for indications of potential violations.
• Develop and test analytics and surveillance tools.
• Prepare detailed reports and document review steps.
• Coach colleagues in techniques and processes.

Skills

Surveillance analysis

Report writing

Coaching others

Team collaboration

Education

Bachelor's degree

SIE certification

Tools

Surveillance tools

Analytics software

Job description

FINRA's Surveillance team in Denver, CO is seeking an Associate Principal Analyst to conduct routine surveillance reviews of moderate to high complexity, focusing on unusual market activity for potential violations. The role offers a hybrid work environment and opportunities to work across multiple locations.

The ideal candidate holds a Bachelor's degree with 4+ years in securities or financial services, understands the surveillance development lifecycle, and has working knowledge of FINRA