Financial Industry Regulatory Authority-posted 9 months ago
$109,600 - $206,200/Yr
Full-time • Senior
Hybrid • Boca Raton, FL
Religious, Grantmaking, Civic, Professional, and Similar Organizations
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This Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities, FINRA and RSA Client Exchange rules. Mentors other staff and guides them in the completion of their routine surveillance reviews.
