Senior Regulatory Surveillance Analyst

FINRA; Rockville (MD); Hybrid; USD 112,000 - 203,000; Full time

Job summary

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex surveillance reviews and identify violations of federal securities, FINRA and RSA Client Exchange rules. The role includes mentoring staff, leading projects, and coordinating with enforcement and external agencies.

The candidate will oversee surveillance development, stay current on industry trends, and collaborate in a hybrid work environment with travel as needed.

Qualifications

• Bachelor’s degree and a minimum of seven (7) years of experience in the securities/financial services industry or equivalent.
• Understanding of surveillance development lifecycle and goal attainment.
• Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934.
• Experience identifying potential securities rule violations.
• Experience working on routine projects independently; some experience on complex projects.
• SIE certification or acceptable industry equivalent required upon hire or within 16 months.

Responsibilities

• Conducts routine reviews in search of 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 new analytics, surveillance tools or processes to detect fraud and improve surveillance methods.
• Communicates with firms, registered and associated persons, investors, and others.
• Guides team members in documenting review steps and results, including referrals to Enforcement and outside agencies.
• Demonstrates subject matter expertise and coaches colleagues in techniques and responsibilities.
• Leads special projects and completes them timely and accurately.
• Works independently on routine and complex projects.
• Represents FINRA in internal meetings.
• Demonstrates FINRA values in interactions with colleagues, members, and outside parties.
• Collaborates in-person and virtually to advance FINRA’s mission.
• Participation in ongoing surveillance initiatives and industry trend tracking.

Skills

Surveillance lifecycle

Mentoring

Communication

Project leadership

Education

Bachelor's degree

SIE certification

Job description

FINRA is seeking a Principal Analyst in Regulatory Operations Surveillance to conduct complex surveillance reviews and identify violations of federal securities, FINRA and RSA Client Exchange rules. The role includes mentoring staff, leading projects, and coordinating with enforcement and external agencies.

The candidate will oversee surveillance development, stay current on industry trends, and collaborate in a hybrid work environment with travel as needed.