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Summary
This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews 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 special projects under the direction of more senior staff. Essential Job Functions:Assists with analyzing trading activity in 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....Senior Analyst, Surveillance, Intelligence, Analyst, Technology -
Job Description
This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews 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 special projects under the direction of more senior staff. Essential Job Functions:Assists with analyzing trading activity in 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....Senior Analyst, Surveillance, Intelligence, Analyst, Technology -
ABOUT THE COMPANY
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