Associate Principal Analyst, Surveillance

Summary

ResponsibilitiesInvestigate with purpose: Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rulesStay sharp on the rules: Research evolving regulations, guidance, and advisories, and share timely updates with your teamBuild better tools: Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tacticsTell the story clearly: Prepare well-organized, detailed, and accurate reports that document your findingsClose the loop: Document review steps and outcomes, including referrals to Enforcement and outside agenciesLead by example: Serve as a subject matter expert, coaching and training colleagues on techniques and best practicesTake on special projects: Deliver high-quality, timely work on initiatives that advance departmental and organizational goalsGrow with support: Work on routine projects with guidance from management as you build toward greater independenceLive our values: Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusionParticipate in cross-team initiatives across SurveillanceStay current on industry trends, practices, and regulatory developmentsRequirementsBachelor'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 roles of increasing responsibilityA demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skillsWorking knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulationsExperience identifying potential securities rule violationsDemonstrated ability to work on routine projects independentlyFINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start dateCore CompetenciesDemonstrates expertise in analyzing trading activity for potential violations of federal securities laws and FINRA rules, while contributing to the development of surveillance technology and analytics. Possesses strong report preparation skills and the ability to coach colleagues on best practices in the securities industry.Highest-signal resume keywordsSecurities Rule Violation IdentificationFINRA Rules KnowledgeSurveillance Development LifecycleFINRA Securities Industry Essentials (SIE) CertificationAnalytical ReportingATS Optimization KeywordsHard SkillsTrading Activity AnalysisRegulatory ResearchSurveillance Technology DevelopmentReport PreparationProject ManagementSoft SkillsCoachingCollaborationCommunicationGoal-AttainmentCertifications & QualificationsFINRA Securities Industry Essentials (SIE) CertificationIndustry KeywordsFederal Securities LawsFINRAMSRBSecurities Exchange Act of 1934SRO Rules#J-18808-Ljbffr

Job Description

ResponsibilitiesInvestigate with purpose: Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rulesStay sharp on the rules: Research evolving regulations, guidance, and advisories, and share timely updates with your teamBuild better tools: Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tacticsTell the story clearly: Prepare well-organized, detailed, and accurate reports that document your findingsClose the loop: Document review steps and outcomes, including referrals to Enforcement and outside agenciesLead by example: Serve as a subject matter expert, coaching and training colleagues on techniques and best practicesTake on special projects: Deliver high-quality, timely work on initiatives that advance departmental and organizational goalsGrow with support: Work on routine projects with guidance from management as you build toward greater independenceLive our values: Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusionParticipate in cross-team initiatives across SurveillanceStay current on industry trends, practices, and regulatory developmentsRequirementsBachelor'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 roles of increasing responsibilityA demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skillsWorking knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulationsExperience identifying potential securities rule violationsDemonstrated ability to work on routine projects independentlyFINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start dateCore CompetenciesDemonstrates expertise in analyzing trading activity for potential violations of federal securities laws and FINRA rules, while contributing to the development of surveillance technology and analytics. Possesses strong report preparation skills and the ability to coach colleagues on best practices in the securities industry.Highest-signal resume keywordsSecurities Rule Violation IdentificationFINRA Rules KnowledgeSurveillance Development LifecycleFINRA Securities Industry Essentials (SIE) CertificationAnalytical ReportingATS Optimization KeywordsHard SkillsTrading Activity AnalysisRegulatory ResearchSurveillance Technology DevelopmentReport PreparationProject ManagementSoft SkillsCoachingCollaborationCommunicationGoal-AttainmentCertifications & QualificationsFINRA Securities Industry Essentials (SIE) CertificationIndustry KeywordsFederal Securities LawsFINRAMSRBSecurities Exchange Act of 1934SRO Rules#J-18808-Ljbffr