Senior Associate Analyst, Market Manipulation Surveillance

Financial Industry Regulatory Authority, Inc.; United States; Hybride; USD 90 000 - 130 000; Plein temps

Avantages offerts par ce poste

Health insurance

401(k) with company match

Paid time off

Hybrid work environment

Résumé du poste

FINRA, the Financial Industry Regulatory Authority, seeks an Associate Principal Analyst in its Surveillance division within Regulatory Operations. The role analyzes trading activity for indications of potential violations and prepares thorough reports.

Hybrid work with travel; requires a bachelor’s degree and 4+ years in securities, strong FINRA rule knowledge, and the ability to work independently and coach colleagues.

Qualifications

• Bachelor’s degree and at least four years in securities/financial services.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934.

Responsabilités

• Analyze trading activity for indicators of potential violations.
• Research rules, regulations, guidelines, intelligences, and advisories.
• Develop and test new analytics and surveillance tools.
• Prepare detailed, well-organized reports and document review steps.
• Coach colleagues in techniques and responsibilities.
• Collaborate on special projects to advance business goals.

Connaissances

Surveillance analytics

Regulatory knowledge

Independent work

Formation

Bachelor’s degree in securities/financial services

Description du poste

FINRA, the Financial Industry Regulatory Authority, seeks an Associate Principal Analyst in its Surveillance division within Regulatory Operations. The role analyzes trading activity for indications of potential violations and prepares thorough reports.

Hybrid work with travel; requires a bachelor’s degree and 4+ years in securities, strong FINRA rule knowledge, and the ability to work independently and coach colleagues.