Associate Principal Analyst, Surveillance and Market Intelligence

Essential Job Functions: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.Demonstration of FINRA's values.Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.Other Responsibilities:Participates in initiatives across SurveillanceRemains current on industry trends, practices, and regulatory impactsEducation/Experience Requirements: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.Working Conditions:Hybrid work environment, with defined in-person presence requirements.Hours may extend beyond normal business hours.Travel will be required, as necessary.Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $118,804San Francisco, CA: Minimum Salary $100,800, Maximum Salary $123,976Boston, MA: $83,900.00 - $172,800.00Chicago, IL: $92,400.00 - $165,300.00Denver, CO: $83,900.00 - $150,300.00Jericho, NY: $83,900.00 - $180,400.00Jersey City, NJ: $100,800.00 - $180,400.00New York, NY: $100,800.00 - $180,400.00Rockville, MD: $96,600.00 - $172,800.00Tysons, VA: $96,600.00 - $172,800.00Washington, DC: $96,600.00 - $172,800.00Woodbridge, NJ: $92,400.00 - $180,400.00Important InformationFINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. All of those accounts are subject to the Code's investment and securities account restrictions.As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.FINRA is an Equal Opportunity EmployerAll 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.#J-18808-Ljbffr

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