Principal Analyst, Surveillance – Manipulation

Jobtailor; California (MO); On-site; USD 90,000 - 130,000; Full time

Job summary

Jobtailor seeks a seasoned regulatory surveillance professional to conduct complex and routine surveillance reviews identifying violations of federal securities, FINRA and RSA Client Exchange rules. You will research rules, provide management updates, and develop analytics to detect fraudulent activity.

The role requires a bachelor’s degree and 7+ years of securities experience, with strong knowledge of FINRA and MSRB rules.

Qualifications

• Bachelor’s degree and 7+ years in securities/financial services or equivalent experience.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB and other SRO rules.
• Experience identifying potential securities rule violations.
• Experience working independently on both routine and complex projects.

Responsibilities

• Conduct complex and routine surveillance reviews to identify violations.
• Research and provide updates on rules, regulations, guidelines, intelligence and advisories.
• Test and develop analytics, surveillance tools and processes to detect fraudulent activity.
• Maintain and enhance surveillance methods and develop improved approaches for uncovering violations.
• Communicate with firms, registered and associated persons, investors and other parties.
• Guide team members in documenting review steps and results, including referrals to Enforcement and outside agencies.
• Coach and train colleagues in techniques, processes and responsibilities.
• Lead and complete special projects accurately and on time.
• Work independently on routine and complex projects.
• Represent FINRA in internal meetings.
• Participate in initiatives across Surveillance.
• Remain current on industry trends, practices and regulatory impacts.
• Collaborate in-person and virtually to support investor protection and market integrity.

Skills

Surveillance Reviews

Fraud Detection

Project Management

Analytical Thinking

Verbal and Written Communication

Education

Bachelor’s degree

Job description

• Conduct complex and routine surveillance reviews to identify violations of federal securities, FINRA and RSA Client Exchange rules
• Research and provide management updates on rules, regulations, guidelines, intelligence and advisories
• Test and develop analytics, surveillance tools and processes to detect and deter fraudulent activity
• Maintain and enhance surveillance methods and develop improved approaches for uncovering violations
• Communicate verbally and in writing with firms, registered and associated persons, investors and other parties
• Guide team members in documenting review steps and results, including referrals to Enforcement and outside agencies
• Coach and train colleagues in techniques, processes and responsibilities
• Lead and complete special projects accurately and on time
• Work independently on routine and complex projects
• Represent FINRA in internal meetings
• Participate in initiatives across Surveillance
• Remain current on industry trends, practices and regulatory impacts
• Collaborate in-person and virtually to support investor protection and market integrity

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
• Working knowledge of the Securities Exchange Act of 1934 and related rules and regulations
• Experience identifying potential securities rule violations
• Experience working on routine projects independently
• Some experience working independently on complex projects
• Ability to work beyond normal business hours when required
• Ability to travel as necessary
• Compliance with FINRA investment restrictions, securities-account disclosure requirements, e-feed requirements, confidentiality and invention assignment agreement, and nepotism policy

Core Competencies

Expertise in conducting surveillance reviews and identifying violations of federal securities and FINRA rules, along with strong analytical skills to develop and enhance surveillance tools and processes. Proven ability to communicate effectively and lead projects while maintaining compliance with industry regulations.

Highest-signal resume keywords

• Surveillance Development Lifecycle
• FINRA Rules Knowledge
• Securities Exchange Act Compliance
• Fraud Detection Analytics
• Project Management

Hard Skills

• Surveillance Reviews
• Regulatory Research
• Fraud Detection
• Analytical Tool Development
• Securities Rule Violation Identification
• Project Execution
• Compliance Knowledge
• Data Analysis
• Documentation Skills
• Training and Coaching

Soft Skills

• Verbal Communication
• Written Communication
• Team Leadership
• Collaboration
• Independent Work

Industry Keywords

• Securities Industry
• FINRA
• MSRB
• SRO Rules
• Investor Protection
• Market Integrity
• Regulatory Compliance
• Confidentiality
• Investment Restrictions
• E-Feed Requirements