Principal Surveillance Analytics Lead

FINRA; Rockville (MD); Hybrid; USD 97,000 - 173,000; Full time

Benefits offered by this job

Discretionary bonus

Health, dental and vision insurance

401(k) with company match

Paid time off and holidays

Job summary

FINRA is seeking an Associate Principal Analyst in the Surveillance section of Regulatory Operations to conduct routine surveillance reviews of moderate to high complexity, identifying unusual market activity for evidence of violations of applicable federal securities, FINRA and RSA rules.

The role includes analyzing trading activity, developing analytics and tools, preparing detailed reports, and mentoring colleagues.

Qualifications

• Bachelor’s degree and a minimum of four (4) 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.
• 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.

Responsibilities

• Analyzes trading activity in area of primary responsibility for indications of potential violations.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories.
• Completes assigned tasks 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.
• Prepares well-organized, detailed, and accurate reports.
• Completes the process for the documentation of review steps and results, including referrals to Investigations and outside agencies.
• Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
• Works on special projects as required 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.

Skills

Surveillance analysis

Regulatory knowledge

Data analysis

Coaching/mentoring

Education

Bachelor’s degree

SIE certification or equivalent

Job description

FINRA is seeking an Associate Principal Analyst in the Surveillance section of Regulatory Operations to conduct routine surveillance reviews of moderate to high complexity, identifying unusual market activity for evidence of violations of applicable federal securities, FINRA and RSA rules.

The role includes analyzing trading activity, developing analytics and tools, preparing detailed reports, and mentoring colleagues.