Senior Analyst, Fraud Detection

Responsibilities This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on special projects under the direction of more senior staff. Assist with analyzing trading activity in area of primary responsibility for indications of potential violations. Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories. Assist with projects for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity, maintaining and enhancing surveillance methods, and developing improved approaches for uncovering violations at the organization’s firms. Present investigative findings to management in an organized, concise, and timely fashion. Follow the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies. Follow area protocols, standards, and policies. Demonstrates an increasing ability to become a subject matter expert. May assist on special projects as required to materially advance the goals and objectives of the business unit or department. Work on routine projects with the assistance of management. Demonstrate FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties. Demonstration of FINRA’s values. Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity. Other responsibilities include: Participates in initiatives across Surveillance, as needed. Remains current on industry trends, practices, and regulatory impacts. Qualifications Education and experience requirements: Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities. Working knowledge 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. Ability to identify potential securities rule violations. Working Conditions Hybrid work environment, with defined in-person presence requirements. Hours may extend beyond normal business hours. Travel will be required, as necessary. Salary For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. Los Angeles, CA: Minimum Salary $83,300, Maximum Salary $100,271 San Francisco, CA: Minimum Salary $86,800, Maximum Salary $104,630 CO/FL/TX: Minimum Salary $72,400, Maximum Salary $129,200 IL/PA: Minimum Salary $79,800, Maximum Salary $142,300 MA/MD/VA/Washington, DC: Minimum Salary $83,300, Maximum Salary $148,600 NY/NJ: Minimum Salary $83,300, Maximum Salary $155,100 Equal Employment Opportunity FINRA is an Equal Opportunity Employer. All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make its career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at View phone number on click.appcast.io or by email at View email address on click.appcast.io. FINRA abides by the requirements of 41 CFR 60-741.5(a) and 41 CFR 60-300.5(a). #J-18808-Ljbffr Financial Industry Regulatory Authority, Inc.