Associate Principal Analyst, Surveillance

FINRA•Jersey City, NJ

2d•Hybrid

About The Position

FINRA (the Financial Industry Regulatory Authority) is a not-for-profit, self-regulatory organization dedicated to protecting investors and ensuring the integrity of America's financial markets. We oversee brokerage firms and their registered representatives, working every day to make sure the markets operate fairly and transparently — so investors can trust the system and the industry can thrive. If you're looking for meaningful, mission-driven work that directly safeguards the financial well-being of everyday Americans, FINRA offers a career where your expertise truly matters. Are you a sharp analytical thinker who thrives on uncovering patterns others might miss? Join our Surveillance team and play a front-line role in detecting and deterring market misconduct. As an Associate Principal Analyst, you'll dig into complex trading activity, spot red flags, and help hold bad actors accountable — all while sharpening your expertise alongside some of the industry's best regulatory professionals. This role offers real ownership: you'll drive moderate-to-high complexity reviews independently, while still having senior mentors in your corner for the trickiest cases.

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 roles of increasing responsibility.
A demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skills.
Working knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulations.
Experience identifying potential securities rule violations.
Demonstrated ability to work on routine projects independently.
FINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start date.

Nice To Haves

Prior hands-on experience with surveillance analytics tools or platforms.
A track record of mentoring or training colleagues on regulatory techniques and processes.
Experience contributing to the development or enhancement of surveillance methodologies.

Responsibilities

Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rules.
Research evolving regulations, guidance, and advisories, and share timely updates with your team.
Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tactics.
Prepare well-organized, detailed, and accurate reports that document your findings.
Document review steps and outcomes, including referrals to Enforcement and outside agencies.
Serve as a subject matter expert, coaching and training colleagues on techniques and best practices.
Deliver high-quality, timely work on initiatives that advance departmental and organizational goals.
Work on routine projects with guidance from management as you build toward greater independence.
Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusion.
Participate in cross-team initiatives across Surveillance.
Stay current on industry trends, practices, and regulatory developments.

Benefits

Discretionary bonus
Overtime pay
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance
Immediate participation and vesting in a 401(k) plan with company match
FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays