Senior Analyst, Manipulation

FINRA•Jersey City, NJ

6d•$72,400 - $155,100•Hybrid

About The Position

The Senior Analyst, Manipulation position within the Surveillance section of Regulatory Operations conducts routine surveillance reviews to identify unusual market activity that may indicate violations of applicable federal securities, FINRA, or RSA client rules and regulations. The analyst may also work on special projects under the direction of more senior staff. The role includes analyzing trading activity, documenting review steps and results, presenting investigative findings, and contributing to the development and improvement of surveillance analytics, tools, and processes. The position operates in a hybrid work environment with defined in-person presence requirements. Hours may extend beyond normal business hours, and travel may be required as necessary.

Requirements

Bachelor’s degree and at least three years of experience in the securities or financial services industry, or an equivalent combination of education and experience in positions of increasing responsibility.
Working knowledge of the surveillance development lifecycle and goal attainment skills.
Working knowledge of FINRA, MSRB, and other SRO rules, as well as the Securities Exchange Act of 1934 and its associated rules and regulations.
Ability to identify potential securities rule violations.
FINRA Securities Industry Essentials (SIE) certification or an acceptable industry-equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Responsibilities

Analyze trading activity in the assigned area for indications of potential violations.
Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories.
Assist with projects to test and develop analytics, surveillance tools, and processes that detect and deter fraudulent activity.
Maintain and enhance surveillance methods and develop improved approaches for uncovering violations at the organization's firms.
Present investigative findings to management in an organized, concise, and timely fashion.
Follow procedures for documenting review steps and results, including referrals to Enforcement and outside agencies.
Follow area protocols, standards, and policies.
Develop an increasing ability to serve as a subject matter expert.
Assist with special projects as required to advance the goals and objectives of the business unit or department.
Work on routine projects with management assistance.
Demonstrate FINRA’s values and collaborate in person and virtually in furtherance of FINRA’s mission of investor protection and market integrity.
Participate in initiatives across Surveillance as needed.
Remain current on industry trends, practices, and regulatory impacts.

Benefits

Discretionary bonus eligibility in addition to base pay.
Overtime pay eligibility for non-exempt employees, in accordance with applicable law.
Health insurance.
Dental insurance.
Vision insurance.
Basic life insurance and additional life and accidental death and dismemberment insurance options.
Short- and long-term disability insurance.
Long-term care insurance.
Business travel accident insurance.
Legal insurance.
401(k) plan with immediate participation and vesting and 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 leave, jury duty leave, bereavement leave, voting and election official leave, and 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 for full-time employees.