Associate Principal Analyst, Manipulation

FINRA•Jersey City, NJ

20h•Hybrid

About The Position

The Associate Principal Analyst works within the Surveillance section of Regulatory Operations, conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity that may indicate violations of applicable federal securities, FINRA, or RSA client rules and regulations. The analyst may also work on more complex assignments under the direction of more senior staff. The position analyzes trading activity, researches regulatory information, contributes to the testing and development of surveillance analytics and tools, and documents review steps and results, including referrals to Enforcement and outside agencies. It also involves preparing detailed reports, applying subject matter expertise to coach and train colleagues, and completing projects that advance business unit or department objectives. The position operates in a hybrid remote/office environment, with hours that may extend beyond normal business hours. Travel may be required as necessary. Applications are accepted on an ongoing basis.

Requirements

Bachelor’s degree and at least 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, as well as the Securities Exchange Act of 1934 and its 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 that 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 management assistance.
Demonstrate FINRA’s values of Responsibility, Innovation, Collaboration, and Expertise, and support its culture of diversity and inclusion 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.
Non-exempt employees are eligible for overtime pay 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, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
Short- and long-term disability insurance, long-term care insurance, business travel accident coverage, and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility to participate in 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.
Five personal days and nine sick days, prorated in the first year where applicable.
Two volunteer service days based on a full-time schedule.
Paid military leave, jury duty leave, bereavement leave, voting and election official leave, family member care leave after 90 days of employment, and childbirth and parental leave after 90 days of employment.
Nine paid holidays for full-time employees.