Principal Analyst, SMI Capital Raising - Fraud

Overview

Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation and 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.

• 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.
• Demonstration of FINRA s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA s mission of investor protection and market integrity.

• Participates in initiatives across Surveillance, as needed
• Remains current on industry trends, practices, and regulatory impacts

• 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.

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

For work that is performed in CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the 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, and internal peer compensation comparisons.

CA:
Minimum Salary $109,600, Maximum Salary $206,200

CO/FL/TX:
Minimum Salary $95,300, Maximum Salary $171,800

IL*/PA:
Minimum Salary $104,900, Maximum Salary $189,400

MA/MD/VA/Washington, DC:
Minimum Salary $109,600 Maximum Salary $197,600

NY*/NJ:
Minimum Salary $109,600, Maximum Salary $206,200

* Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and…