Associate Principal Analyst, Surveillance and Market Intelligence

Associate Principal Analyst

This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Regulatory Operations – Surveillance is responsible for conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on more complex assignments under the direction of more senior staff.

• Analyzes trading activity in area of primary responsibility for indications of potential violations.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories.
• Completes assigned tasks 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.
• Prepares well-organized, detailed, and accurate reports.
• Completes the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
• Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
• Works on special projects as required and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department.
• Works on routine projects with the assistance of management.
• Demonstrates FINRA's values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

• Participates in initiatives across Surveillance
• Remains current on industry trends, practices, and regulatory impacts

• 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 positions of increasing responsibilities.
• Demonstrated understanding 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.
• Experience identifying potential securities rule violations.
• Experience working on routine projects independently.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

• Hybrid work environment, with defined in-person presence requirements.
• Hours may extend beyond normal business hours.
• Travel will be required, as necessary.