Associate Principal Analyst, Surveillance and Market Intelligence

This position within the Surveillance and Market Intelligence section of Regulatory Operations – Surveillance conducts 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. May work on more complex assignments under the direction of more senior staff.

Responsibilities

• Analyzes trading activity in area of primary responsibility for indications of potential violations.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories.
• Completes assigned tasks for testing and developing new analytics, surveillance tools, or processes that detect and deter fraudulent activity, maintaining and enhancing surveillance methods, and developing improved approaches for uncovering violations.
• Prepares well-organized, detailed, and accurate reports.
• Completes documentation of review steps and results, including referrals to Enforcement and outside agencies.
• Demonstrates subject matter expertise and coaches/trains colleagues in techniques, processes, and responsibilities.
• Works on special projects as required, completing them in a timely, accurate, and high-quality manner to advance business unit or department goals.
• Works on routine projects with the assistance of management.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration, and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
• Collaborates, both in-person and virtually, to further FINRA’s mission of investor protection and market integrity.
• Participates in initiatives across Surveillance.
• Remains current on industry trends, practices, and regulatory impacts.

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 positions of increasing responsibilities.
• 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.
• Experience working on routine projects independently.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Working Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Hours may extend beyond normal business hours.
• Travel will be required, as necessary.

Pay

For work performed in the following locations, the salary range is as follows:

• Los Angeles, CA: $96,600 – $118,804
• San Francisco, CA: $100,800 – $123,976
• CO/FL/TX: $83,900 – $150,300
• IL/PA: $92,400 – $165,300
• MA/MD/VA/Washington, DC: $96,600 – $172,800
• NY/NJ: $96,600 – $180,400

Actual compensation is based on factors including skill set, level of experience, education, and market considerations. 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 insurance.
• Spouse/domestic partner and dependent accidental death and dismemberment insurance.
• Short- and long-term disability, long-term care, business travel accident, and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement, commuter benefits, and other benefits supporting employee wellness (e.g., adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs).

Time Off and Paid Leave

• 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
• 2 volunteer service days (based on full-time schedule).
• 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).
• 9 paid holidays (based on full-time schedule).

Additional Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator. Employees must disclose all brokerage accounts they maintain, including those in which they control trading or have a financial interest (e.g., trust accounts, accounts of a spouse, domestic partner, or minor child). These accounts are subject to investment restrictions, and new employees must comply by disposing of prohibited securities or obtaining a waiver by their start date.

Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA and must transition accounts to such firms within three months of employment.

Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.