Senior Analyst, Regulatory Surveillance & Violations

Financial Industry Regulatory Authority, Inc.; United States; Hybrid; USD 112.000 - 203.000; Vollzeit

Benefits dieser Stelle

Discretionary bonus

Health, dental and vision insurance

401(k) with company match

Paid time off

Zusammenfassung

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex reviews under minimal supervision and identify violations of federal securities laws. The role also involves mentoring staff and guiding review processes.

The ideal candidate holds a Bachelor’s degree with at least seven years in securities, understands FINRA/MSRB rules, and will join a hybrid team with travel as needed.

Qualifikationen

• Bachelor’s degree and 7+ years in securities/financial services.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB and other SRO rules.
• SIE certification required on hire or within 16 months of the start date.

Aufgaben

• Conducts routine reviews for 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 analytics, surveillance tools or processes to detect and deter fraudulent activity; enhances surveillance methods.
• Communicates findings verbally and in writing with firms, registered and associated persons, investors, and others.
• Guides team members in documentation of review steps and results, including referrals to Enforcement and outside agencies.
• Leads special projects to advance department goals and collaborates across the organization.

Kenntnisse

Surveillance analytics

Regulatory knowledge

Mentoring

Communication skills

Project management

Ausbildung

Bachelor’s degree

Jobbeschreibung

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex reviews under minimal supervision and identify violations of federal securities laws. The role also involves mentoring staff and guiding review processes.

The ideal candidate holds a Bachelor’s degree with at least seven years in securities, understands FINRA/MSRB rules, and will join a hybrid team with travel as needed.