Senior Analyst, MRTS-Operational Reporting and 17d-2

This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on special projects under the direction of more senior staff.

Essential Job Functions:


* Assists with analyzing trading activity in area of primary responsibility for indications of potential violations.  


* Drafts summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories. 


* Assists with projects 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. 


* Presents investigative findings to management in an organized, concise, and timely fashion.  


* Follows the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies. 


* Follows area protocols, standards, and policies. 


* Demonstrates an increasing ability to become a subject matter expert. 


* May assist on special projects as required to materially advance the goals and objectives of the business unit or department.  


* Works on routine projects with the assistance of management. 


* Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. 

Other Responsibilities:


* Participates in initiatives across Surveillance, as needed


* Remains current on industry trends, practices, and regulatory impacts 

Education & Experience Requirements:


* Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.


* Working knowledge 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.


* Ability to identify potential securities rule violations. 

Working Conditions:


* Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.


* Travel will be required, as necessary. 

For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education,...