Conducting routine surveillance reviews of moderate to high complexity to identify unusual market activity
Analyzing trading activity for indications of potential violations
Researching and providing internal updates regarding rules, regulations, guidelines, intelligences, and advisories
Completing assigned tasks for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity
Preparing well-organized, detailed, and accurate reports
Completing documentation of review steps and results
Demonstrating subject matter expertise and coaching/train colleagues in techniques, processes, and responsibilities
Working on routine projects with the assistance of management
Participating in initiatives across Surveillance

Bachelor’s degree and a minimum of four (4) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities
Demonstrated understanding of surveillance development lifecycle and goal attainment skills
Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder
Experience identifying potential securities rule violations
Experience working on routine projects independently

Comprehensive health, dental and vision insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for participation in an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance and wellness programs
Generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days
Two volunteer service days (based on full-time schedule)
Paid holidays

Associate Principal Analyst, Fraud Detection

Key skills