Senior Analyst, SMI - Customer Order Handling

Senior Analyst – Surveillance and Market Intelligence

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.

• 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.
• 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 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.

• 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, salary ranges vary by location (see detailed ranges).

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR 60-741.5(a) and 41 CFR 60-300.5(a).

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

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