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About the Role

This Associate Principal Analyst position is responsible for conducting routine surveillance reviews of moderate to high complexity 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 working on more complex assignments under the direction of more senior staff.

Responsibilities

• Analyzes trading activity in area of primary responsibility for indications of potential violations.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories.
• Completes assigned tasks 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.
• Prepares well-organized, detailed, and accurate reports.
• Completes the process for the 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.
• Works on special projects as required 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 on routine projects with the assistance of management.
• 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.
• Participates in initiatives across Surveillance.
• Remains current on industry trends, practices, and regulatory impacts.

Requirements

• Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Demonstrated understanding 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.
• Experience identifying potential securities rule violations.
• Experience working on routine projects independently.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
• Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
• Employees must comply with the company’s policy on nepotism.
• Employees must disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest.
• Employees must authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
• Employees must comply with the Code’s investment and securities account restrictions.
• New 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.
• Employees must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

Skills

• Surveillance
• Market Intelligence
• Regulatory Operations
• FINRA rules
• RSA client rules
• Trading activity analysis
• Rule research
• Analytics development
• Surveillance tool development
• Process improvement
• Reporting
• Documentation
• Subject matter expertise
• Coaching
• Training
• Special project management
• Collaboration
• Investor protection
• Market integrity
• Industry trends analysis
• Securities industry
• Financial services industry
• Securities Exchange Act of 1934
• Securities rule violations identification

Location

• Los Angeles, CA
• San Francisco, CA
• Denver, CO
• Boston, MA
• Chicago, IL
• Rockville, MD
• Jericho, NY
• Jersey City, NJ
• New York, NY
• Woodbridge, NJ
• Tysons, VA
• Washington, DC

Work Type

• Hybrid
• Full-time

Experience Level

• Associate Principal Analyst
• Minimum of four (4) years of experience in the securities/financial services industry
• Experience identifying potential securities rule violations
• Experience working on routine projects independently

Education Level

• Bachelor’s degree
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification

Salary/Compensations

• Los Angeles, CA: Minimum Salary $96,600, Maximum Salary $118,804
• San Francisco, CA: Minimum Salary $100,800, Maximum Salary $123,976
• Boston, MA: $83,900.00 - $172,800.00
• Chicago, IL: $92,400.00 - $165,300.00
• Denver, CO: $83,900.00 - $150,300.00
• Jericho, NY: $83,900.00 - $180,400.00
• Jersey City, NJ: $100,800.00 - $180,400.00
• New York, NY: $100,800.00 - $180,400.00
• Rockville, MD: $96,600.00 - $172,800.00
• Tysons, VA: $96,600.00 - $172,800.00
• Washington, DC: $96,600.00 - $172,800.00
• Woodbridge, NJ: $92,400.00 - $180,400.00

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 program
• 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 a registered trademark of the Financial Industry Regulatory Authority, Inc.

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.