Senior Principal Analyst, SMI-Capital Raising, Fraud
FINRA(13 days ago)
About this role
This Senior Principal Analyst role in Market Regulation involves conducting complex surveillance reviews, identifying violations of securities rules, and guiding team members. The position emphasizes expertise in securities regulation, project management, and surveillance processes within a hybrid work environment.
Required Skills
- Surveillance
- Regulatory Knowledge
- Securities Laws
- Project Management
- Analysis
- Communication
- Process Improvement
- Legal Compliance
- Financial Regulation
- Trend Identification
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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