Principal Analyst, Manipulation
About The Position
The Principal Analyst position within Regulatory Operations Surveillance conducts complex surveillance reviews under minimal supervision and identifies violations of applicable federal securities, FINRA, and RSA Client Exchange rules. The role mentors staff and guides them through routine surveillance reviews, while contributing subject matter expertise, coaching, and training to colleagues. The position researches and communicates updates on rules, regulations, guidelines, intelligence, and advisories; helps test and develop analytics, surveillance tools, and processes to detect and deter fraudulent activity; and improves methods for uncovering violations. It documents review steps and results, including referrals to Enforcement and outside agencies, and communicates with firms, registered and associated persons, investors, and other parties. The Principal Analyst works independently on routine projects and may work independently on complex projects. The role leads or actively participates in special projects, represents FINRA in internal meetings, participates in initiatives across Surveillance, and stays current on industry trends, practices, and regulatory impacts. It demonstrates FINRA’s values of Responsibility, Innovation, Collaboration, and Expertise and collaborates in person and virtually in support of investor protection and market integrity. The position is hybrid, with defined in-person presence requirements. Hours may extend beyond normal business hours, and travel may be required as necessary. Compensation varies by location and candidate qualifications. Employees may be eligible for a discretionary bonus in addition to base pay.
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 working independently on routine projects and some experience working independently 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.
Responsibilities
- Conduct routine surveillance reviews with minimal supervision to identify possible 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.
- 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.
- Demonstrate subject matter expertise and coach and train colleagues in techniques, processes, and responsibilities.
- Participate actively in and lead special projects, completing them in a timely, accurate, and high-quality manner to advance business unit or department objectives.
- Work independently on routine projects and, where appropriate, on complex projects.
- Represent FINRA in internal meetings.
- Demonstrate FINRA’s values of Responsibility, Innovation, Collaboration, and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
- Collaborate 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.
Benefits
- Discretionary bonus eligibility in addition to base 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 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, 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, jury duty, bereavement, voting and election official, care of a family member, childbirth, and parental leave, subject to stated eligibility and availability terms.
- Nine paid holidays for full-time employees.
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What This Job Offers
Job Type
Full-time
Career Level
Principal
