Senior Analyst, Fraud Detection

FINRA•Rockville, MD

22h•Hybrid

About The Position

This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on special projects under the direction of more senior staff. Assist with analyzing trading activity in area of primary responsibility for indications of potential violations. Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories. Assist with projects 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. Present investigative findings to management in an organized, concise, and timely fashion. Follow the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies. Follow area protocols, standards, and policies. Demonstrates an increasing ability to become a subject matter expert. May assist on special projects as required to materially advance the goals and objectives of the business unit or department. Work on routine projects with the assistance of management. Demonstrate 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 three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
Working knowledge 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.
Ability to identify potential securities rule violations.

Responsibilities

Conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations.
Assisting with analyzing trading activity in area of primary responsibility for indications of potential violations.
Drafting summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories.
Assisting with projects for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity.
Maintaining and enhancing surveillance methods.
Developing improved approaches for uncovering violations at the organization's firms.
Presenting investigative findings to management in an organized, concise, and timely fashion.
Following the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
Following area protocols, standards, and policies.
Demonstrating an increasing ability to become a subject matter expert.
Assisting on special projects as required to materially advance the goals and objectives of the business unit or department.
Working on routine projects with the assistance of management.
Demonstrating FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
Participating in initiatives across Surveillance, as needed.
Remaining current on industry trends, practices, and regulatory impacts.

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, short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility for participation in an additional FINRA-funded retirement contribution.
Tuition reimbursement.
Commuter benefits.
Adoption assistance.
Backup family care.
Surrogacy benefits.
Employee assistance.
Wellness programs.
15 days of paid time off.
5 personal days.
9 sick days.
Two volunteer service days.
Military leave.
Jury duty leave.
Bereavement leave.
Voting and election official leave.
Care of a family member leave (available after 90 days of employment).
Childbirth and parental leave (available after 90 days of employment).
Nine paid holidays.