Principal Analyst, Manipulation

FINRA•Rockville, MD

3d•Hybrid

About The Position

The Principal Analyst, Manipulation, works within Regulatory Operations Surveillance and conducts complex surveillance reviews with minimal supervision to identify potential violations of federal securities laws and applicable FINRA and RSA Client Exchange rules. The role also performs routine reviews, researches regulatory developments, and contributes to the development and improvement of surveillance analytics, tools, and processes intended to detect and deter fraudulent activity and uncover violations at member firms. The Principal Analyst communicates with firms, registered and associated persons, investors, and other parties; guides colleagues in conducting reviews and documenting findings, including referrals to Enforcement and outside agencies; and provides subject-matter expertise, coaching, and training. The position leads or participates in special projects and works independently on routine and complex projects. It represents FINRA in internal meetings and collaborates with colleagues in person and virtually in support of investor protection and market integrity. This is a hybrid role with defined in-person attendance requirements. Hours may extend beyond normal business hours, and travel may be required as necessary. Compensation varies by location, skills, experience, education, and market considerations. Employees may be eligible for a discretionary bonus; non-exempt employees are eligible for overtime pay as required by law. FINRA employees are subject to its Code of Conduct, including brokerage-account disclosure and investment restrictions.

Requirements

Bachelor’s degree and at least seven 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 rules and regulations.
Experience identifying potential securities rule violations.
Experience independently working on routine projects and some experience independently working on complex projects.
FINRA Securities Industry Essentials (SIE) certification or an acceptable industry-equivalent certification, required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Ability to meet defined in-person attendance requirements in a hybrid work environment.
Ability to work hours that may extend beyond normal business hours and to travel as necessary.

Responsibilities

Conduct routine and complex surveillance reviews to identify potential violations of rules and federal securities laws.
Research rules, regulations, guidelines, intelligence, and advisories and provide updates to management.
Test and develop analytics, surveillance tools, and processes to detect and deter fraudulent activity.
Maintain and enhance surveillance methods and develop improved approaches for uncovering violations at firms.
Communicate verbally and in writing with firms, registered and associated persons, investors, and others.
Guide team members in documenting review steps and results, including referrals to Enforcement and outside agencies.
Coach and train colleagues in relevant techniques, processes, and responsibilities.
Participate actively in and lead special projects, completing them accurately, on time, and to a high standard.
Work independently on routine projects and, when appropriate, complex projects.
Represent FINRA in internal meetings.
Collaborate with colleagues in person and virtually in support of investor protection and market integrity.
Participate in initiatives across Surveillance.
Remain current on industry trends, practices, and regulatory impacts.
Demonstrate FINRA’s values of Responsibility, Innovation, Collaboration, and Expertise in interactions with colleagues, management, FINRA members, and outside parties.

Benefits

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, long-term care, business travel accident, 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, and 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 for full-time schedules.
Paid military, jury duty, bereavement, voting and election official, family-member care, childbirth, and parental leave, subject to stated eligibility and applicable terms.
Nine paid holidays for full-time employees.
Potential discretionary bonus.
Overtime pay for non-exempt employees in accordance with applicable law.