Associate Principal Analyst – Insider Trading Detection – Options
| Company | Finra |
|---|---|
| Location | Boston, MA, USA, Washington, DC, USA, San Francisco, CA, USA, Los Angeles, CA, USA, North Bethesda, MD, USA, Jericho, NY, USA, Dallas, TX, USA, Philadelphia, PA, USA, Boca Raton, FL, USA, Iselin, Woodbridge Township, NJ, USA, Chicago, IL, USA, Kansas City, MO, USA, New York, NY, USA, Denver, CO, USA |
| Salary | $81900 – $176000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Mid Level |
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.
Responsibilities
- 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.
Preferred Qualifications
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No preferred qualifications provided.