Principal Analyst, Surveillance - Manipulation

We need to output only HTML fragment, no html/body tags. Use

for section headings: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Include sections only if posting has real specific content. We need to extract content. Job description: "This Principal Analyst position within Regulatory Operations Surveillance is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities, FINRA and RSA Client Exchange rules. Mentors other staff and guides them in the completion of their routine surveillance reviews." That's about the role. Essential Job Functions list: many bullet-like sentences separated by periods. We need to turn into

• for any list of duties/requirements/benefits. We have "Essential Job Functions:" then a series of sentences. We'll treat each as a list item. List items: - Conducts routine reviews in search of possible violations of rules and federal securities laws with moderate supervision. - Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, and advisories. - Conducts processes 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 at the organization's firms. - Communicates both verbally and in writing with firms, registered and associated persons, investors, and others. - Guides team members in the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies. - Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities. - Participates actively in and plays a leading role in special projects, and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department. - Works independently on routine projects; ability to work independently on complex projects. - Represents FINRA in internal meetings. - Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties. - Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. - Other Responsibilities: Participates in initiatives across Surveillance - Remains current on industry trends, practices, and regulatory impacts We need to avoid duplication: "Other Responsibilities:" maybe part of list. Now Education/Experience Requirements: list bullet points. - Bachelor’s degree and a minimum of seven (7) 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; some experience working independently on complex projects. 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: salary ranges per location. Provide a Pay section with details. Benefits: list of benefits: health, dental, vision insurance, basic life, AD&D, supplemental life, spouse/domestic partner and dependent life, spouse/domestic partner and dependent AD&D, short- and long-term disability, long-term care, business travel accident, disability and legal, 401(k) with company match, additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, wellness programs. Also time off: 15 days PTO increasing to 25, 5 personal days, 9 sick days, two volunteer service days, military leave, jury duty, bereavement, voting/election official leave, care of family member after 90 days, childbirth/parental leave after 90 days, nine paid holidays. Schedule: maybe not explicit; only mention hybrid work environment, hours may extend beyond normal business hours, travel as necessary. Could put under Schedule? But we have Working Conditions separate; but we only have headings list includes Schedule. Since we have no explicit schedule (like shift times), maybe we omit Schedule section. However we could include Schedule under Working Conditions? The instruction: Use headings only if posting has real specific content. We have info about hybrid work environment, hours may extend beyond normal business hours, travel as necessary. That could be considered Schedule? But we also have Working Conditions not in allowed headings list. The allowed headings are About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We need to map content to these. We have About the role (intro). Responsibilities (essential job functions). Requirements (education/experience). Qualifications maybe similar to Requirements? Could combine. Skills maybe from requirements like demonstrated understanding, working knowledge, experience. Could put under Skills. Benefits: we have benefits list. Pay: salary ranges. Schedule: maybe we can include hybrid work environment, hours may extend beyond normal business hours, travel as necessary under Schedule. We must not repeat job title as heading. No Job ID. We must not include boilerplate like EEO, legal, application instructions, etc. Remove those. We must preserve all substantive information; do not invent or summarize away detail. We need to output only HTML fragment. Let's structure:

  About the role

  This Principal Analyst position within Regulatory Operations Surveillance is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities, FINRA and RSA Client Exchange rules. Mentors other staff and guides them in the completion of their routine surveillance reviews.

  Responsibilities

  • Conducts routine reviews in search of possible violations of rules and federal securities laws with moderate supervision.
  • Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, and advisories.
  • Conducts processes 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 at the organization's firms.
  • Communicates both verbally and in writing with firms, registered and associated persons, investors, and others.
  • Guides team members in the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
  • Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
  • Participates actively in and plays a leading role in special projects, and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department.
  • Works independently on routine projects; ability to work independently on complex projects.
  • Represents FINRA in internal meetings.
  • Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties.
  • Collaboration, both in-person and virtually, in furtherance of 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 seven (7) 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; some experience working independently on complex projects.
  We could also have Qualifications but maybe redundant. Could put Skills separate: maybe list of skills like "Analytical thinking, Communication, Mentoring, Project leadership". But we don't have explicit skills list besides those in requirements. Could combine Requirements and Skills? The instruction: Prefer a few substantive sections over many thin ones. So we could merge Requirements and Skills into one section called Requirements (or Qualifications). But we need to follow headings list; we can omit Skills if no specific content beyond what's already covered. However we have "Demonstrated understanding..." etc which are skills. Could put under Skills. Let's decide: We'll have About the role, Responsibilities, Requirements, Benefits, Pay, Schedule. Omit Qualifications and Skills to avoid thin sections. Now Benefits: list. We need to capture all benefits described. Benefits paragraph: "As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes 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. FINRA offers 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 that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs. Time Off and Paid Leave* FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays." We'll turn each distinct benefit into list items. Let's list: - Comprehensive health, dental and vision insurance - Basic life insurance - Accidental death and dismemberment (AD&D) insurance - Supplemental life insurance - Spouse/domestic partner and dependent life insurance - Spouse/domestic partner and dependent accidental death and dismemberment insurance - Short-term disability insurance - Long-term disability insurance - Long-term care insurance - Business travel accident insurance - Disability and legal services - 401(k) plan with immediate participation and vesting, company match - Eligibility for participation in an additional FINRA-funded retirement contribution - Tuition reimbursement - Commuter benefits - Adoption assistance - Backup family care - Surrogacy benefits - Employee assistance programs - Wellness programs - Paid time off: starting at 15 days (increasing with years of service up to 25 days) - 5 personal days - 9 sick days (pro-rated first year) - Two volunteer service days (based on full-time schedule) - Military leave - Jury duty leave - Bereavement leave - Voting and election official leave (federal, state, local primary and general elections) - Care of a family member leave (available after 90 days of employment) - Childbirth and parental leave (available after 90 days of employment) - Nine paid holidays (full-time schedule) Now Pay: Provide salary ranges per location. We have list: Los Angeles, CA: Minimum Salary $112,300, Maximum Salary $146,000 San Francisco, CA: Minimum Salary $117,200, Maximum Salary $152,000