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Associate Principal Analyst at FINRA - ApplyBlast

Associate Principal Analyst

FINRA

3 months ago

3.8 on Glassdoor

Chicago, Illinois, United States

Hybrid

Full Time

Senior

0 applicants

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About this role

The Associate Principal Analyst conducts routine surveillance reviews of moderate to high complexity to identify unusual market activity and potential violations of securities regulations. The role involves analyzing trading activity, researching rules, preparing detailed reports, and contributing to the development of surveillance tools and processes.

Responsibilities

Analyze trading activity for potential violations
Research and update internal guidance on rules and regulations
Develop and test new surveillance analytics and tools
Prepare detailed reports and document review steps
Coach colleagues and lead special surveillance projects

Skills

Qualifications

Bachelor's degreeFINRA Securities Industry Essentials (SIE) certification

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.