Senior Analyst, SMI - Customer Order Handling

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.
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* 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 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.
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* 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.
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* Working Conditions:

*** 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  Minimum of $81,300, Maximum Salary $151,300CO/FL/TX:
Minimum Salary $70,600, Maximum Salary $126,000IL /PA:
Minimum Salary $77,900, Maximum Salary $138,800MA/MD/VA/Washington, DC:
Minimum Salary $81,300, Maximum Salary $145,000NY /NJ:
Minimum Salary $81,300, Maximum Salary $151,300 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 level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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