Senior Analyst, Manipulation

Job title: Senior Analyst, Manipulation

This Senior Analyst position within the Surveillance section of Regulatory Operations is responsible for conducting routine surveillance reviews 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 special projects under the direction of more senior staff.

Essential Job Functions:

• Assists with analyzing trading activity in area of primary responsibility for indications of potential violations.
• Drafts summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories.
• Assists with projects 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.
• Presents investigative findings to management in an organized, concise, and timely fashion.
• Follows the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
• Follows area protocols, standards, and policies.
• Demonstrates an increasing ability to become a subject matter expert.
• May assist on special projects as required to materially advance the goals and objectives of the business unit or department.
• Works on routine projects with the assistance of management.
• 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:

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

Education/Experience Requirements:

• Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities.
• Working knowledge 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.
• Ability to identify potential securities rule violations.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

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, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA 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: 83,300 - 100,271

San Francisco, CA: 86,800 - 104,630

Boston, MA: 83,300 - 148,600

Chicago, IL: 79,800 - 142,300

Denver, CO: 72,400 - 129,200

Jericho, NY: 83,300 - 148,600

Jersey City, NJ: 86,800 - 155,100

Philadelphia, PA: 79,800 - 142,300

New York, NY: 86,800 - 155,100

Rockville, MD: 83,300 - 148,600

Tysons VA: 83,300 - 148,600

Washington, DC: 83,300 - 148,600

Woodbridge, NJ: 83,300 - 148,600

Connecticut State: 72,400 - 155,100

Washington State: 72,400 - 155,100

FINRA is an 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.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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