Senior Analyst, Surveillance and Market Intelligence

Responsibilities

• Assists with analyzing trading activity in the 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.
• demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• collaborates, both in‑person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• participates in initiatives across Surveillance, as needed.

• Education:
  
  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.
• Ability to identify potential securities rule violations.

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

FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.