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Regulatory Compliance Specialist Financial Services Banking & Finance Financial Compliance

Senior Analyst, Market Surveillance & Compliance

Job in Denver, Denver County, Colorado, 80285, USA
Listing for: Financial Industry Regulatory Authority, Inc.
Full Time position
Listed on 2026-01-25
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services, Banking & Finance, Financial Compliance
Job Description & How to Apply Below
A financial regulatory body is seeking a Principal Analyst for their Surveillance and Market Intelligence section. This role involves conducting complex surveillance reviews, ensuring compliance with federal securities and FINRA rules. Candidates should have at least seven years of experience in the financial services industry and a Bachelor's degree. The position requires strong analytical and communication skills and offers a hybrid work environment with competitive compensation packages.
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Position Requirements
10+ Years work experience
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