Principal Analyst, MRTS Fraud Detection

About the position

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

Responsibilities

• 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, while embracing FINRA's culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.

Requirements

• 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.

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance.
• Short- and long-term disability insurance.
• Long-term care insurance.
• Business travel accident insurance.
• Legal assistance.
• 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance programs.
• Wellness programs.
• 15 days of paid time off, 5 personal days, and 9 sick days.
• Two volunteer service days.
• Paid holidays.