Associate Principal Analyst, Fraud Detection

Overview 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. Responsibilities Analyze trading activity in the area of primary responsibility for indications of potential violations. Research and provide internal updates regarding rules, regulations, guidelines, intelligences, and advisories. Complete 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. Prepare well‑organized, detailed, and accurate reports. Document review steps and results, including referrals to Enforcement and outside agencies. Demonstrate subject‑matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities. Work on special projects as required, completing them in a timely, accurate, and high‑quality manner to materially advance the goals and objectives of the business unit or department. Work on routine projects with the assistance of management. Demonstrate FINRA’s values of Responsibility, Innovation, Collaboration, and Expertise in interactions with colleagues, management, FINRA members, and outside parties. Other Responsibilities Participate in initiatives across Surveillance. Remain current on industry trends, practices, and regulatory impacts. Qualifications 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, with defined in‑person presence requirements. Hours may extend beyond normal business hours. Travel will be required, as necessary. Benefits Employees may be eligible for a discretionary bonus in addition to base pay. Non‑exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. The organization provides comprehensive health, dental and vision insurance, short‑ and long‑term disability, life insurance, and a 401(k) plan with company match. Additional benefits include tuition reimbursement, commuter benefits, and wellness programs. Equal Opportunity Employer All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. #J-18808-Ljbffr