Principal Analyst, Surveillance - Manipulation
Core
Conduct complex surveillance reviews to identify violations of federal securities and FINRA rules, while mentoring staff and developing new analytics to detect fraudulent activity.
Role type
Senior IC regulatory surveillance analyst
Builds
Enhanced surveillance methods and analytics tools for detecting securities rule violations
Domain
Financial services / Securities regulation
Deliverable
production ML models | dashboards & analysis
Required skills
Securities rule violation identification, FINRA/MSRB/Exchange Act expertise, surveillance development lifecycle knowledge, independent complex project execution, team mentoring, regulatory research
Preferred skills
Special project leadership, industry trend analysis
Technologies
FINRA, MSRB, Securities Exchange Act of 1934
Responsibilities
Conduct routine surveillance reviews for rule violations, research and update management on regulatory changes, develop and test new surveillance analytics, coach colleagues on review processes, lead special projects, represent FINRA in internal meetings
Seniority
Senior, hands-on IC with mentorship duties
