Senior Principal Analyst, SMI-Capital Raising, Fraud

FINRA • Rockville, MD

25d • $111,400 - $242,600 • Hybrid

About The Position

This Senior Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation 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 comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision. Proactively identifies notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions including researching and monitoring for updates to rules, regulations, guidelines, and intelligence. Conducts advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity Communicates both verbally and in writing with firms, registered and associated persons, investors, and others. Implements a process for the team’s 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. Ensures that all regulatory requests are fulfilled in a timely and accurate manner. 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 complex and prolonged projects. Represents FINRA in internal/external 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: Assist management with the preparation of materials/information for speaking engagements with various internal and external constituencies Participates in multi-level initiatives across Regulatory Operations Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation) Remains current on industry trends, practices, and regulatory impacts

Requirements

• Bachelor’s degree and a minimum of eight (8) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.
• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Extensive experience identifying potential securities rule violations.
• Demonstrated ability to lead and produce outstanding measurable results.
• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.
• Strong organizational skills and excellent attention to detail.
• Advanced time management, prioritization and strong analytical skills required.
• Experience working on complex projects independently.

Responsibilities

• Conducts comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision.
• Proactively identifies notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions including researching and monitoring for updates to rules, regulations, guidelines, and intelligence.
• Conducts advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity
• Communicates both verbally and in writing with firms, registered and associated persons, investors, and others.
• Implements a process for the team’s 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.
• Ensures that all regulatory requests are fulfilled in a timely and accurate manner.
• 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 complex and prolonged projects.
• Represents FINRA in internal/external meetings.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
• Assist management with the preparation of materials/information for speaking engagements with various internal and external constituencies
• Participates in multi-level initiatives across Regulatory Operations
• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
• 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.

What This Job Offers

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