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About the Role

Join our Surveillance team and play a front-line role in detecting and deterring market misconduct. As an Associate Principal Analyst, you'll dig into complex trading activity, spot red flags, and help hold bad actors accountable — all while sharpening your expertise alongside some of the industry's best regulatory professionals. This role offers real ownership: you'll drive moderate-to-high complexity reviews independently, while still having senior mentors in your corner for the trickiest cases.

Responsibilities

Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rules.
Research evolving regulations, guidance, and advisories, and share timely updates with your team.
Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tactics.
Prepare well-organized, detailed, and accurate reports that document your findings.
Document review steps and outcomes, including referrals to Enforcement and outside agencies.
Serve as a subject matter expert, coaching and training colleagues on techniques and best practices.
Deliver high-quality, timely work on initiatives that advance departmental and organizational goals.
Work on routine projects with guidance from management as you build toward greater independence.
Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusion.
Participate in cross-team initiatives across Surveillance.
Stay current on industry trends, practices, and regulatory developments.

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 roles of increasing responsibility.
A demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skills.
Working knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulations.
Experience identifying potential securities rule violations.
Demonstrated ability to work on routine projects independently.
FINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start date.
Prior hands-on experience with surveillance analytics tools or platforms.
A track record of mentoring or training colleagues on regulatory techniques and processes.
Experience contributing to the development or enhancement of surveillance methodologies.
Some hours may extend beyond standard business hours to meet the demands of the role.
Occasional travel as needed.
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 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 execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification.
Must comply with the company’s policy on nepotism.

Skills

Analytical thinking
Regulatory knowledge
Surveillance analytics
Reporting
Coaching
Training

Location

Hybrid

Work Type

Hybrid

Experience Level

Associate Principal Analyst
Four (4) years of experience

Education Level

Bachelor's degree

Salary/Compensations

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.

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, short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
Immediate participation and vesting in a 401(k) plan with company match.
Eligibility for participation in an additional 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 (the Financial Industry Regulatory Authority) is a not-for-profit, self-regulatory organization dedicated to protecting investors and ensuring the integrity of America's financial markets.
We oversee brokerage firms and their registered representatives, working every day to make sure the markets operate fairly and transparently — so investors can trust the system and the industry can thrive.
FINRA offers a career where your expertise truly matters.

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.