Senior Market Surveillance Analyst & Fraud Detection

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 83,000 - 149,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401(k) with match

Tuition reimbursement

Commuter benefits

Wellness programs

Job summary

FINRA is seeking a Senior Analyst in its Rockville, MD Surveillance section to conduct routine reviews and identify unusual market activity for potential violations of securities laws and FINRA rules. The role may involve special projects and collaboration with management to advance department goals.

The position requires a bachelor’s degree and at least 3 years in securities/financial services, with knowledge of surveillance lifecycle and SRO rules.

Qualifications

• Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Working knowledge 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.

Responsibilities

• Assists with analyzing trading activity in area of primary responsibility for indications of potential violations.
• Drafts summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories.
• Assists with projects 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.
• Presents investigative findings to management in an organized, concise, and timely fashion.
• Follows the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
• Follows area protocols, standards, and policies.
• Demonstrates an increasing ability to become a subject matter expert.
• May assist on special projects as required to materially advance the goals and objectives of the business unit or department.
• Works on routine projects with the assistance of management.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Participates in initiatives across Surveillance, as needed
• Remains current on industry trends, practices, and regulatory impacts.

Education

Bachelor’s degree

Job description

FINRA is seeking a Senior Analyst in its Rockville, MD Surveillance section to conduct routine reviews and identify unusual market activity for potential violations of securities laws and FINRA rules. The role may involve special projects and collaboration with management to advance department goals.

The position requires a bachelor’s degree and at least 3 years in securities/financial services, with knowledge of surveillance lifecycle and SRO rules.