Associate Principal Analyst, SMI Customer Order Handling

This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews of moderate to high complexity 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 more complex assignments under the direction of more senior staff.

Essential Job Functions:

• Analyzes trading activity in area of primary responsibility for indications of potential violations. 
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories. 
• Completes assigned tasks 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. 
• Prepares well-organized, detailed, and accurate reports. 
• Completes 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.  
• Works on special projects as required 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 on routine projects with the assistance of management. 
• 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.

Other Responsibilities:

• Participates in initiatives across Surveillance
• Remains current on industry trends, practices, and regulatory impacts 

Education/Experience Requirements:

• Bachelor’s degree and a minimum of four (4) 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. 

Working Conditions:

• Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
• Travel will be required, as necessary. 

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, 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 comparisons.

CA: Minimum Salary $94,200, Maximum Salary $176,000

CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600

IL*: Minimum Salary $90,100, Maximum Salary $161,300
Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000

MA/WA: Minimum Salary $81,900, Maximum Salary $168,600

MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NJ State: Minimum Salary $90,100, Maximum $176,000

NY State: Minimum Salary $81,900, Maximum Salary $176,000

*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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