Senior Surveillance Analyst
7 days ago
We are seeking a highly skilled and experienced Senior Surveillance Analyst to join our team at the Financial Industry Regulatory Authority, Inc. (FINRA). As a key member of our Surveillance and Market Intelligence section, you will play a critical role in conducting routine surveillance reviews to identify unusual market activity and potential violations of applicable federal securities, FINRA, and/or RSA client rules and regulations.
Key Responsibilities- Analyze trading activity to identify potential violations and provide internal updates on rules, regulations, guidelines, and advisories.
- Research and develop new analytics, surveillance tools, and processes to detect and deter fraudulent activity.
- Prepare well-organized, detailed, and accurate reports on surveillance findings and results.
- Collaborate with senior staff to develop and implement improved approaches for uncovering violations at our firms.
- Participate in initiatives across Surveillance and remain current on industry trends, practices, and regulatory impacts.
- 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 the Securities Exchange Act of 1934 and the rules and regulations thereunder.
- Experience identifying potential securities rule violations and working on routine projects independently.
FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, 401(k) plan with company match, tuition reimbursement, and many other benefits. We also provide a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
FINRA is an Equal Opportunity and Affirmative Action Employer. We are committed to diversity and inclusion and welcome applications from qualified candidates of all backgrounds.
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Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full timeJob SummaryWe are seeking a highly skilled Senior Analyst to join our Surveillance and Market Intelligence team. As a key member of our team, you will be responsible for conducting routine surveillance reviews to identify unusual market activity and potential violations of applicable federal securities, FINRA, and RSA client rules and regulations.Key...
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Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full timeJob SummaryWe are seeking a highly skilled Senior Analyst to join our Surveillance and Market Intelligence team. As a key member of our team, you will be 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...
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