Associate Principal Analyst, Fraud Detection

Associate Principal Analyst – Surveillance and Market Intelligence This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation 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 laws, FINRA and/or RSA client rules and regulations.Responsibilities Analyze trading activity in the area of primary responsibility for indications of potential violations.Research and provide internal updates on rules, regulations, guidelines, intelligence and advisories.Test and develop new analytics, surveillance tools or processes that detect and deter fraudulent activity.Maintain and enhance surveillance methods and develop improved approaches for uncovering violations at the organization's firms.Prepare well‑organized, detailed, and accurate reports and document review steps and results, including referrals to Enforcement and outside agencies.Coach and train colleagues in techniques, processes, and responsibilities.Work on special projects as required and complete such projects in a timely, accurate and high‑quality manner to advance the business unit's goals.Collaborate both in‑person and virtually to further FINRA's mission of investor protection and market integrity.Qualifications 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 responsibility.Demonstrated understanding of the surveillance development lifecycle and goal attainment skills.Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and its regulations.Experience identifying potential securities rule violations.Experience working on routine projects independently.Working Conditions 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, military or veteran status, sex, or any other status or classification protected by state or local law.#J-18808-Ljbffr

Associate Principal Analyst – Surveillance and Market Intelligence This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation 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 laws, FINRA and/or RSA client rules and regulations.Responsibilities Analyze trading activity in the area of primary responsibility for indications of potential violations.Research and provide internal updates on rules, regulations, guidelines, intelligence and advisories.Test and develop new analytics, surveillance tools or processes that detect and deter fraudulent activity.Maintain and enhance surveillance methods and develop improved approaches for uncovering violations at the organization's firms.Prepare well‑organized, detailed, and accurate reports and document review steps and results, including referrals to Enforcement and outside agencies.Coach and train colleagues in techniques, processes, and responsibilities.Work on special projects as required and complete such projects in a timely, accurate and high‑quality manner to advance the business unit's goals.Collaborate both in‑person and virtually to further FINRA's mission of investor protection and market integrity.Qualifications 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 responsibility.Demonstrated understanding of the surveillance development lifecycle and goal attainment skills.Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and its regulations.Experience identifying potential securities rule violations.Experience working on routine projects independently.Working Conditions 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, military or veteran status, sex, or any other status or classification protected by state or local law.#J-18808-Ljbffr

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