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Senior Market Surveillance Analyst
2 months ago
Position Overview:
The Senior Market Surveillance Analyst role within the Surveillance and Market Intelligence division of Market Regulation is focused on executing routine surveillance assessments of varying complexity to detect atypical market behavior that may indicate breaches of applicable federal securities laws, FINRA regulations, and/or RSA client standards. This position may also involve tackling more intricate projects under the mentorship of senior personnel.
- Evaluate trading patterns in the designated sector for possible infractions.
- Investigate and provide updates on internal rules, regulations, guidelines, and advisories.
- Fulfill assigned responsibilities for testing and developing innovative analytics and surveillance instruments.
- Generate comprehensive and precise reports.
- Document the review process and outcomes, including referrals to Enforcement and external organizations.
- Offer guidance and training to team members.
- Engage in special initiatives as necessary.
- Exhibit proficiency in surveillance methodologies and procedures.
Required Qualifications:
- Bachelor's degree with a minimum of four years of experience in the securities or financial services sector.
- Familiarity with the surveillance development lifecycle.
- Comprehensive understanding of FINRA, MSRB, and other self-regulatory organization (SRO) regulations.
- Proven experience in identifying violations of securities regulations.
- Ability to work autonomously on standard projects.
Work Environment:
- Hybrid work setting with potential for extended hours.
- Travel may be required as needed.
Compensation Range:
California: $91,500 - $170,900
Washington, DC/Maryland: $91,500 - $163,700
Colorado/Hawaii/Minnesota/Vermont: $79,500 - $142,300
New York, NY: $95,400 - $170,900
Washington State: $79,500 - $163,700
