Associate Principal Analyst, Surveillance

About the role

FINRA (the Financial Industry Regulatory Authority) is a not-for-profit, self-regulatory organization dedicated to protecting investors and ensuring the integrity of America's financial markets. We oversee brokerage firms and their registered representatives, working every day to make sure the markets operate fairly and transparently — so investors can trust the system and the industry can thrive. If you're looking for meaningful, mission-driven work that directly safeguards the financial well-being of everyday Americans, FINRA offers a career where your expertise truly matters.

Opportunity

Are you a sharp analytical thinker who thrives on uncovering patterns others might miss? Join our Surveillance team and play a front-line role in detecting and deterring market misconduct. As an Associate Principal Analyst, you'll dig into complex trading activity, spot red flags, and help hold bad actors accountable — all while sharpening your expertise alongside some of the industry's best regulatory professionals. This role offers real ownership: you'll drive moderate-to-high complexity reviews independently, while still having senior mentors in your corner for the trickiest cases.

What You'll Do

• Investigate with purpose: Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rules.
• Stay sharp on the rules: Research evolving regulations, guidance, and advisories, and share timely updates with your team.
• Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tactics.
• Prepare well-organized, detailed, and accurate reports that document your findings.
• Document review steps and outcomes, including referrals to Enforcement and outside agencies.
• Serve as a subject matter expert, coaching and training colleagues on techniques and best practices.
• Deliver high-quality, timely work on initiatives that advance departmental and organizational goals.
• Work on routine projects with guidance from management as you build toward greater independence.

What You'll Bring

• Required Qualifications:
  • 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 roles of increasing responsibility.
  • A demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skills.
  • Working knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulations.
  • Experience identifying potential securities rule violations.
  • Demonstrated ability to work on routine projects independently.
  • FINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start date.
• Preferred Qualifications:
  • Prior hands-on experience with surveillance analytics tools or platforms.
  • A track record of mentoring or training colleagues on regulatory techniques and processes.
  • Experience contributing to the development or enhancement of surveillance methodologies.

Other Ways You'll Contribute

Participate in cross-team initiatives across Surveillance. Stay current on industry trends, practices, and regulatory developments.

Working Conditions

Hybrid work environment (a flexible mix of remote and in-office time). Some hours may extend beyond standard business hours to meet the demands of the role. Occasional travel as needed.

Other Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• Tuition reimbursement.
• Commuter benefits.
• Wellness programs.

Time Off and Paid Leave

• 15 days of paid time off.
• 5 personal days.
• 9 sick days.
• Nine paid holidays.

Important Information

• Code of Conduct restrictions on investments and financial disclosures.
• Disclosures to FINRA of all brokerage accounts maintained, including those controlled by you or in which you have a financial interest.
• Eligibility for FINRA-funded retirement contribution.
• Voluntary participation in FINRA-sponsored wellness programs.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

Equal Opportunity Employer

FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.