Associate Principal Analyst, Manipulation

FINRA•New York City, NY

8d•Hybrid

About The Position

This position is within the Surveillance section of Regulatory Operations. It conducts routine surveillance reviews of moderate to high complexity to identify unusual market activity and evidence of potential violations of applicable federal securities, FINRA, and/or RSA client rules and regulations. The analyst may also work on more complex assignments under the direction of more senior staff. The role analyzes trading activity, researches relevant rules and regulatory guidance, helps test and develop surveillance analytics and tools, and documents review steps and results. It also requires subject matter expertise, collaboration and coaching of colleagues, and participation in projects and initiatives across Surveillance. The position is performed in a hybrid remote/office environment. Hours may extend beyond normal business hours, and travel may be required as necessary. Applications are accepted on an ongoing basis.

Requirements

Bachelor’s degree and a minimum of four years of experience in the securities or 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 associated rules and regulations.
Experience identifying potential securities rule violations.
Experience working independently on routine projects.

Responsibilities

Analyze trading activity in the area of primary responsibility for indications of potential violations.
Research and provide internal updates regarding rules, regulations, guidelines, intelligence, and advisories.
Complete assigned tasks for testing and developing analytics, surveillance tools, and processes to 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.
Document review steps and results, including referrals to Enforcement and outside agencies.
Demonstrate subject matter expertise and coach and train colleagues in techniques, processes, and responsibilities.
Complete special projects in a timely, accurate, and high-quality manner to advance business unit or department goals and objectives.
Work on routine projects with assistance from management.
Demonstrate FINRA’s values and embrace its diversity and inclusion culture in interactions with colleagues, management, FINRA members, and outside parties.
Participate in initiatives across Surveillance.
Remain current on industry trends, practices, and regulatory impacts.

Benefits

Employees may be eligible for a discretionary bonus in addition to base pay.
Overtime pay for non-exempt employees in accordance with applicable law.
Comprehensive health, dental, and vision insurance.
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, short- and long-term disability, long-term care, business travel accident, and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match, and eligibility for an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Paid time off starting at 15 days and increasing with years of service up to 25 days, plus 5 personal days and 9 sick days, pro-rated in the first year where applicable.
Two volunteer service days based on a full-time schedule.
Paid military, jury duty, bereavement, voting and election official, family-member care, childbirth, and parental leave, subject to the conditions described in the posting.
Nine paid holidays for full-time employees.