Principal Analyst, Surveillance - Manipulation

Summary

Conduct complex and routine surveillance reviews to identify violations of federal securities, FINRA and RSA Client Exchange rulesResearch and provide management updates on rules, regulations, guidelines, intelligence and advisoriesTest and develop analytics, surveillance tools and processes to detect and deter fraudulent activityMaintain and enhance surveillance methods and develop improved approaches for uncovering violationsCommunicate verbally and in writing with firms, registered and associated persons, investors and other partiesGuide team members in documenting review steps and results, including referrals to Enforcement and outside agenciesCoach and train colleagues in techniques, processes and responsibilitiesLead and complete special projects accurately and on timeWork independently on routine and complex projectsRepresent FINRA in internal meetingsParticipate in initiatives across SurveillanceRemain current on industry trends, practices and regulatory impactsCollaborate in-person and virtually to support investor protection and market integrityRequirements Bachelor's degree and a minimum of seven (7) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilitiesDemonstrated understanding of surveillance development lifecycle and goal attainment skillsWorking knowledge of FINRA, MSRB and other SRO rulesWorking knowledge of the Securities Exchange Act of 1934 and related rules and regulationsExperience identifying potential securities rule violationsExperience working on routine projects independentlySome experience working independently on complex projectsAbility to work beyond normal business hours when requiredAbility to travel as necessaryCompliance with FINRA investment restrictions, securities-account disclosure requirements, e-feed requirements, confidentiality and invention assignment agreement, and nepotism policyCore Competencies Expertise in conducting surveillance reviews and identifying violations of federal securities and FINRA rules, along with strong analytical skills to develop and enhance surveillance tools and processes. Proven ability to communicate effectively and lead projects while maintaining compliance with industry regulations.Highest-signal resume keywords Surveillance Development LifecycleFINRA Rules KnowledgeSecurities Exchange Act ComplianceFraud Detection AnalyticsProject ManagementHard Skills Surveillance ReviewsRegulatory ResearchFraud DetectionAnalytical Tool DevelopmentSecurities Rule Violation IdentificationProject ExecutionCompliance KnowledgeData AnalysisDocumentation SkillsTraining and CoachingSoft Skills Verbal CommunicationWritten CommunicationTeam LeadershipCollaborationIndependent WorkIndustry Keywords Securities IndustryFINRAMSRBSRO RulesInvestor ProtectionMarket IntegrityRegulatory ComplianceConfidentialityInvestment RestrictionsE-Feed Requirements#J-18808-Ljbffr

Job Description

Conduct complex and routine surveillance reviews to identify violations of federal securities, FINRA and RSA Client Exchange rulesResearch and provide management updates on rules, regulations, guidelines, intelligence and advisoriesTest and develop analytics, surveillance tools and processes to detect and deter fraudulent activityMaintain and enhance surveillance methods and develop improved approaches for uncovering violationsCommunicate verbally and in writing with firms, registered and associated persons, investors and other partiesGuide team members in documenting review steps and results, including referrals to Enforcement and outside agenciesCoach and train colleagues in techniques, processes and responsibilitiesLead and complete special projects accurately and on timeWork independently on routine and complex projectsRepresent FINRA in internal meetingsParticipate in initiatives across SurveillanceRemain current on industry trends, practices and regulatory impactsCollaborate in-person and virtually to support investor protection and market integrityRequirements Bachelor's degree and a minimum of seven (7) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilitiesDemonstrated understanding of surveillance development lifecycle and goal attainment skillsWorking knowledge of FINRA, MSRB and other SRO rulesWorking knowledge of the Securities Exchange Act of 1934 and related rules and regulationsExperience identifying potential securities rule violationsExperience working on routine projects independentlySome experience working independently on complex projectsAbility to work beyond normal business hours when requiredAbility to travel as necessaryCompliance with FINRA investment restrictions, securities-account disclosure requirements, e-feed requirements, confidentiality and invention assignment agreement, and nepotism policyCore Competencies Expertise in conducting surveillance reviews and identifying violations of federal securities and FINRA rules, along with strong analytical skills to develop and enhance surveillance tools and processes. Proven ability to communicate effectively and lead projects while maintaining compliance with industry regulations.Highest-signal resume keywords Surveillance Development LifecycleFINRA Rules KnowledgeSecurities Exchange Act ComplianceFraud Detection AnalyticsProject ManagementHard Skills Surveillance ReviewsRegulatory ResearchFraud DetectionAnalytical Tool DevelopmentSecurities Rule Violation IdentificationProject ExecutionCompliance KnowledgeData AnalysisDocumentation SkillsTraining and CoachingSoft Skills Verbal CommunicationWritten CommunicationTeam LeadershipCollaborationIndependent WorkIndustry Keywords Securities IndustryFINRAMSRBSRO RulesInvestor ProtectionMarket IntegrityRegulatory ComplianceConfidentialityInvestment RestrictionsE-Feed Requirements#J-18808-Ljbffr