Senior Analyst, Manipulation

FINRA • Rockville, MD

4d • Hybrid

About The Position

This Senior Analyst 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 role may also support special projects under the direction of more senior staff and works on routine projects with management assistance.

The position analyzes trading activity, supports the development and testing of surveillance analytics and tools, documents review steps and findings, and presents investigative results to management. The analyst follows established protocols and policies, builds subject matter expertise, collaborates with colleagues in support of investor protection and market integrity, and keeps current on industry trends and regulatory impacts.

The work environment is hybrid, with defined in-person presence requirements. Hours may extend beyond normal business hours, and travel may be required as necessary. Salary varies by location; listed annual ranges are $72,400–$155,100 depending on location. Employees may be eligible for a discretionary bonus, and non-exempt employees may be eligible for overtime pay.

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, and the Securities Exchange Act of 1934 and its 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 area of primary responsibility 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, or processes that detect and deter fraudulent activity.
• Help 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.
• Document review steps and results, including referrals to Enforcement and outside agencies, following established processes.
• Follow area protocols, standards, and policies.
• Develop an increasing ability to become 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 assistance from management.
• Demonstrate FINRA’s values and collaborate in person and virtually in support of investor protection and market integrity.
• Participate in initiatives across Surveillance as needed.
• Remain 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 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, plus five personal days and nine sick days, prorated in the first year as applicable.
• Two volunteer service days based on a full-time schedule.
• Military, jury duty, bereavement, voting and election official, care of a family member, childbirth, and parental leave, subject to applicable eligibility terms.
• Nine paid holidays for full-time employees.
• Discretionary bonus eligibility.
• Overtime pay for non-exempt employees in accordance with applicable law.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior