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Associate Principal Analyst, Manipulation at FINRA - ApplyBlast

Associate Principal Analyst, Manipulation

FINRA

3 days ago

3.8 on Glassdoor

Denver, Colorado, United States

Hybrid

Full Time

Senior

0 applicants

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About this role

The Associate Principal Analyst, Manipulation role within FINRA's Surveillance section of Regulatory Operations conducts routine surveillance reviews to identify unusual market activity and potential violations of federal securities, FINRA, and RSA rules. The position involves analyzing trading activity, researching regulatory updates, and developing new analytics and surveillance tools to detect and deter fraudulent activity. This role requires preparing detailed reports, documenting review steps, and coaching colleagues while working on special projects to advance business objectives.

Responsibilities

Conduct surveillance reviews to identify unusual market activity and potential rule violations
Research and provide updates on rules, regulations, guidelines, and advisories
Develop and test new analytics and surveillance tools to detect fraudulent activity

Skills

Qualifications

Bachelor's degree

About FINRA

finra.org

Headquarters

Washington, District Of Columbia, United States

Company Size

1001-5000 employees

Founded

2007

View Profile

FINRA, the Financial Industry Regulatory Authority, is a nonprofit self-regulatory organization that oversees U.S. broker-dealers and securities markets. It works to protect investors and maintain market integrity through regulation, enforcement, licensing, arbitration and mediation services, and market surveillance. FINRA operates in the financial services and securities regulation industry.