Senior Associate Analyst - Market Manipulation Surveillance

Financial Industry Regulatory Authority, Inc.; New York (NY); Hybrid; USD 110.000 - 150.000; Vollzeit

Zusammenfassung

FINRA is seeking an Associate Principal Analyst in Regulatory Operations to conduct routine surveillance reviews of moderate to high complexity, identifying unusual market activity for potential violations. The role involves analytics development, documentation, and collaboration across teams to advance department goals.

The ideal candidate holds a bachelor’s degree with at least four years in securities or financial services, with deep knowledge of FINRA rules and surveillance lifecycle.

Qualifikationen

• Bachelor’s degree and a minimum of four years of securities/financial services experience.
• Understanding of surveillance lifecycle and goal attainment skills.
• Working knowledge of FINRA, MSRB and SRO rules and the Securities Exchange Act of 1934.

Aufgaben

• Analyzes trading activity for indications of potential violations.
• Researches and provides updates on rules, regulations, and advisories.
• Develops and tests analytics, surveillance tools, or processes to detect fraud.
• Prepares detailed, well-organized reports on reviews and findings.
• Documents review steps and outcomes; refers cases to Enforcement or outside agencies.

Kenntnisse

Surveillance analysis

Regulatory knowledge

Report writing

Communication

Ausbildung

Bachelor's degree in finance or related

Jobbeschreibung

FINRA is seeking an Associate Principal Analyst in Regulatory Operations to conduct routine surveillance reviews of moderate to high complexity, identifying unusual market activity for potential violations. The role involves analytics development, documentation, and collaboration across teams to advance department goals.

The ideal candidate holds a bachelor’s degree with at least four years in securities or financial services, with deep knowledge of FINRA rules and surveillance lifecycle.