Associate Principal Analyst, Surveillance

Responsibilities

• Investigate with purpose:
  Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rules
• Stay sharp on the rules:
  Research evolving regulations, guidance, and advisories, and share timely updates with your team
• Build better tools:
  Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tactics
• Tell the story clearly:
  Prepare well-organized, detailed, and accurate reports that document your findings
• Close the loop:
  Document review steps and outcomes, including referrals to Enforcement and outside agencies
• Lead by example:
  Serve as a subject matter expert, coaching and training colleagues on techniques and best practices
• Take on special projects:
  Deliver high-quality, timely work on initiatives that advance departmental and organizational goals
• Grow with support:
  Work on routine projects with guidance from management as you build toward greater independence
• Live our values:
  Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusion
• Participate in cross-team initiatives across Surveillance
• Stay current on industry trends, practices, and regulatory developments

• Bachelor's degree and a minimum of four (4) years of experience in the securities/financial services industry — or an equivalent combination of education and experience in roles of increasing responsibility
• A demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skills
• Working knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulations
• Experience identifying potential securities rule violations
• Demonstrated ability to work on routine projects independently
• FINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start date

Demonstrates expertise in analyzing trading activity for potential violations of federal securities laws and FINRA rules, while contributing to the development of surveillance technology and analytics. Possesses strong report preparation skills and the ability to coach colleagues on best practices in the securities industry.

• Securities Rule Violation Identification
• FINRA Rules Knowledge
• Surveillance Development Lifecycle
• FINRA Securities Industry Essentials (SIE) Certification
• Analytical Reporting

• Trading Activity Analysis
• Regulatory Research
• Surveillance Technology Development
• Report Preparation
• Project Management

• Coaching
• Collaboration
• Communication
• Goal-Attainment

• FINRA Securities Industry Essentials (SIE) Certification

• Federal Securities Laws
• FINRA
• MSRB
• Securities Exchange Act of 1934
• SRO Rules