Principal Analyst, SMI Capital Raising - Fraud

FINRA

2d•$95,300 - $206,200•Hybrid

About The Position

This Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation and 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. Essential Job Functions: Conducts routine reviews in search of possible violations of rules and federal securities laws with moderate supervision. Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, and advisories. Conducts processes for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity, maintaining and enhancing surveillance methods, and developing improved approaches for uncovering violations at the organization's firms. Communicates both verbally and in writing with firms, registered and associated persons, investors, and others. Guides team members in the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies. Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities. Participates actively in and plays a leading role in special projects, and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department. Works independently on routine projects; ability to work independently on complex projects. Represents FINRA in internal meetings. Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other Responsibilities: Participates in initiatives across Surveillance, as needed Remains current on industry trends, practices, and regulatory impacts

Requirements

Bachelor’s degree and a minimum of seven (7) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
Demonstrated understanding of surveillance development lifecycle and goal attainment skills.
Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
Experience identifying potential securities rule violations.
Experience working on routine projects independently; some experience working independently on complex projects.

Responsibilities

Conducts routine reviews in search of possible violations of rules and federal securities laws with moderate supervision.
Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, and advisories.
Conducts processes for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity, maintaining and enhancing surveillance methods, and developing improved approaches for uncovering violations at the organization's firms.
Communicates both verbally and in writing with firms, registered and associated persons, investors, and others.
Guides team members in the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
Participates actively in and plays a leading role in special projects, and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department.
Works independently on routine projects; ability to work independently on complex projects.
Represents FINRA in internal meetings.
Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Participates in initiatives across Surveillance, as needed
Remains 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 also eligible for overtime pay in accordance with federal, state, or local law.
As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
Additional insurance includes 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.
FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
Full-time employees receive nine paid holidays.

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