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Surveillance and Market Intelligence Analyst

2 months ago

Chicago, Illinois, United States finra Full time

Job Summary:

This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation 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 and may work on more complex assignments under the direction of more senior staff.

Key Responsibilities:

  • Conducts in-depth analysis of trading activity to identify potential violations of securities rules and regulations.
  • Researches and provides internal updates on market trends, regulatory changes, and industry developments.
  • Develops and implements new analytics, surveillance tools, and processes to detect and deter fraudulent activity.
  • Prepares detailed and accurate reports on surveillance findings and recommendations.
  • Collaborates with senior staff to develop and implement improved approaches for uncovering violations.
  • Provides subject matter expertise and training to colleagues on surveillance techniques and processes.
  • Works on special projects to advance the goals and objectives of the business unit or department.

Requirements:

  • Bachelor's degree and a minimum of four (4) years of experience in the securities/financial services industry.
  • Demonstrated understanding of surveillance development lifecycle and goal attainment skills.
  • Working knowledge of FINRA, MSRB, and other SRO rules and regulations.
  • Experience identifying potential securities rule violations.
  • Experience working on routine projects independently.

Working Conditions:

  • Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
  • Travel will be required, as necessary.