Senior Surveillance Analyst – Fraud & Violations

FINRA; Rockville (MD); Hybrid; USD 83,000 - 149,000; Full time

Benefits offered by this job

Health, dental, vision

401(k) with company match

Tuition reimbursement

Commuter benefits

Job summary

FINRA seeks a surveillance analyst in a hybrid Rockville, MD environment to analyze trading activity for potential violations and draft internal updates on rules and advisories. The role supports analytics projects to deter fraudulent activity and presents findings to management.

Qualified candidates have a bachelor’s degree, 3+ years in securities, knowledge of FINRA and SRO rules, and a FINRA SIE certification (or equivalent) within 16 months. Hybrid work with travel as needed.

Qualifications

• Minimum 3 years of experience in securities/financial services.
• Knowledge of surveillance development lifecycle.
• Knowledge of FINRA, MSRB and other SRO rules.
• Ability to identify potential securities rule violations.
• SIE certification required on hire or within 16 months of start date.

Responsibilities

• Assist with analyzing trading activity for indications of potential violations.
• Draft summaries of internal updates regarding rules and advisories.
• Develop and test new analytics and surveillance tools and processes.
• Present investigative findings to management in a concise, timely fashion.
• Follow documented review steps and referrals to Enforcement and outside agencies.
• Adhere to area protocols, standards, and policies.
• Aim to become a subject matter expert in the area.
• Support special projects to advance business unit goals.
• Collaborate with others in person and virtually to protect investors.

Skills

Analytical thinking

Identify securities violations

Securities regulations familiarity

Communication skills

Education

Bachelor's degree

FINRA SIE certification

Job description

FINRA seeks a surveillance analyst in a hybrid Rockville, MD environment to analyze trading activity for potential violations and draft internal updates on rules and advisories. The role supports analytics projects to deter fraudulent activity and presents findings to management.

Qualified candidates have a bachelor’s degree, 3+ years in securities, knowledge of FINRA and SRO rules, and a FINRA SIE certification (or equivalent) within 16 months. Hybrid work with travel as needed.