Principal Analyst, SMI Capital Raising - Fraud
FINRA(1 month ago)
About this role
A Principal Analyst within the Surveillance and Market Intelligence section of Market Regulation at FINRA. The role supports FINRA’s mission of investor protection and market integrity through expertise in surveillance programs and regulatory oversight. It operates in a hybrid environment and represents the organization in internal and external engagements.
Required Skills
- Surveillance
- Market Intelligence
- Analytics
- Regulatory Knowledge
- Research
- Communication
- Mentoring
- Project Management
- Investigation
Qualifications
- Bachelor's Degree
About FINRA
finra.orgA vibrant market is at its best when it works for everyone. Join the Industry or Take an Exam Register Have Questions or Concerns? Contact Us Look up FINRA Disciplinary Actions Search Cases Research a Broker or Firm Search Brokercheck Featured Member Firm Hub New FINRA Initiatives to Support Members, Markets, and the Investors They Serve By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard
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