Lead Market Surveillance Analyst
2 weeks ago
Key Responsibilities:
- Contributes to the evaluation of trading activities within the designated area for signs of possible infractions.
- Prepares summaries of internal communications regarding regulations, guidelines, and advisories.
- Engages in projects aimed at testing and enhancing new analytical tools or methodologies that identify and prevent fraudulent practices, while also refining surveillance techniques and innovating strategies for detecting violations within the organization's firms.
- Delivers investigative insights to management in a structured, clear, and timely manner.
- Adheres to the documentation process for review actions and outcomes, including referrals to Enforcement and external agencies.
- Complies with established protocols, standards, and policies.
- Exhibits a growing capacity to become a subject matter authority.
- May assist in special initiatives as necessary to significantly advance the objectives of the business unit or department.
- Participates in routine projects with guidance from management.
- Embodies FINRA's core values of Responsibility, Innovation, Collaboration, and Expertise, while fostering a culture of diversity and inclusion in interactions with colleagues, management, FINRA members, and external stakeholders.
- Engages in cross-departmental initiatives within Surveillance as required.
- Stays informed on industry developments, practices, and regulatory changes.
- Bachelor's degree and a minimum of three (3) years of experience in the securities or financial services sector; or an equivalent combination of education and experience in progressively responsible roles.
- Proficient understanding of the surveillance development lifecycle and goal achievement skills.
- Familiarity with FINRA, MSRB, and other SRO regulations, as well as the Securities Exchange Act of 1934 and associated rules and regulations.
- Ability to recognize potential violations of securities regulations.
- Hybrid work setting (remote/office) with hours that may extend beyond standard business hours.
- Travel may be necessary, as required.
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