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Principal Analyst, Manipulation at FINRA - ApplyBlast

Principal Analyst, Manipulation

FINRA

3 days ago

3.8 on Glassdoor

Chicago, Illinois, United States

Hybrid

Full Time

Senior

0 applicants

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About this role

The Principal Analyst, Manipulation conducts complex surveillance reviews to identify violations of federal securities, FINRA, and RSA Client Exchange rules. This role involves mentoring staff, developing new analytics and surveillance tools, and communicating with firms, investors, and regulatory agencies. The position requires subject matter expertise to guide team members and lead special projects to advance business objectives.

Responsibilities

Conduct complex surveillance reviews to identify violations of federal securities and FINRA rules
Develop and test new analytics and surveillance tools to detect fraudulent activity
Mentor staff and guide team members in documentation and referral processes

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.