Senior Principal Analyst, SMI-Capital Raising, Fraud

This Senior 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.

Essential Job Functions:

• Conducts comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision.
• Proactively identifies notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions including researching and monitoring for updates to rules, regulations, guidelines, and intelligence. 
• Conducts advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity 
• Communicates both verbally and in writing with firms, registered and associated persons, investors, and others. 
• Implements a process for the team’s 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.  
• Ensures that all regulatory requests are fulfilled in a timely and accurate manner. 
• 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 complex and prolonged projects. 
• Represents FINRA in internal/external 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.

Other Responsibilities:

• Assist management with the preparation of materials/information for speaking engagements with various internal and external constituencies

• Participates in multi-level initiatives across Regulatory Operations 

• Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)

• Remains current on industry trends, practices, and regulatory impacts 

Education/Experience Requirements:

• Bachelor’s degree and a minimum of eight (8) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.

• Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills.

• Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder.

• Extensive experience identifying potential securities rule violations.

• Demonstrated ability to lead and produce outstanding measurable results.

• Requires excellent written and verbal communications skills, including interpersonal and presentation skills.

• Strong organizational skills and excellent attention to detail.

• Advanced time management, prioritization and strong analytical skills required.

• Experience working on complex projects independently. 

​

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 Los Angeles and San Francisco, 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. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. 

 

Los Angeles, CA: Minimum Salary $128,062, Maximum Salary $192,094

San Francisco, CA: Minimum Salary $137,000, Maximum Salary $200,446

CO/FL/TX: Minimum Salary $111,400, Maximum Salary $202,100

IL/PA: Minimum Salary