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About the Role

This Senior Analyst position 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. The role may involve special projects under the direction of more senior staff and contributes to detecting and deterring fraudulent activity.

Responsibilities

• Assists with analyzing trading activity for indications of potential violations.
• Drafts summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories.
• Assists with projects for testing and developing new analytics, surveillance tools or processes.
• Maintains and enhances surveillance methods.
• Develops improved approaches for uncovering violations at the organization's firms.
• Presents investigative findings to management.
• Documents review steps and results, including referrals to Enforcement and outside agencies.
• Follows area protocols, standards, and policies.
• Demonstrates an increasing ability to become a subject matter expert.
• May assist on special projects as required.
• Works on routine projects with the assistance of management.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise.
• Collaborates in-person and virtually in furtherance of FINRA’s mission.
• 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.
• FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest.
• Employees must comply with investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA.
• Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA.
• Must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
• Must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
• Must comply with the company’s policy on nepotism.

Skills

• Surveillance development lifecycle
• Goal attainment
• FINRA rules
• MSRB rules
• SRO rules
• Securities Exchange Act of 1934
• Regulatory compliance
• Market analysis
• Investigative findings presentation
• Documentation
• Subject matter expertise
• Collaboration
• Communication

Location

• Los Angeles, CA
• San Francisco, CA
• CO
• FL
• TX
• IL
• PA
• MA
• MD
• VA
• Washington, DC
• NY
• NJ

Work Type

• Hybrid
• Full-time

Experience Level

• Senior
• Minimum of three (3) years of experience

Education Level

• Bachelor’s degree

Salary/Compensations

• Los Angeles, CA: Minimum Salary $83,300, Maximum Salary $100,271
• San Francisco, CA: Minimum Salary $86,800, Maximum Salary $104,630
• CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200
• IL/PA: Minimum Salary $79,800, Maximum Salary $142,300
• MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600
• NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100

Benefits

• Discretionary bonus
• Overtime pay
• Comprehensive health, dental and vision insurance
• Basic life insurance
• Accidental death and dismemberment insurance
• Supplemental life insurance
• Spouse/domestic partner and dependent life insurance
• Spouse/domestic partner and dependent accidental death and dismemberment insurance
• Short-term disability insurance
• Long-term disability insurance
• Long-term care insurance
• Business travel accident insurance
• Disability insurance
• Legal insurance
• Immediate participation and vesting in a 401(k) plan with company match
• FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Adoption assistance
• Backup family care
• Surrogacy benefits
• Employee assistance programs
• 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

About the Company

• FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States.
• FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC).
• FINRA's independent regulation plays a critical role in America’s financial system at no cost to taxpayers.
• FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms.
• FINRA uses technology powerful enough to look across markets and detect potential abuses.
• FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.
• FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
• Our Growth is Creating Great Opportunities!
• Our team is expanding, and we want to hire the most talented people we can.
• Continued success depends on it!

Equal Opportunity

• All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
• FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org.
• FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
• FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.