- Analyzes trading activity in area of primary responsibility for indications of potential violations.
- Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories.
- Completes assigned tasks 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.
- Prepares well-organized, detailed, and accurate reports.
- Completes the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies.
- Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities.
- Works on special projects as required and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department.
- Works on routine projects with the assistance of management.
- Demonstrates FINRA's values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA's culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.
- Participates in initiatives across Surveillance
- Remains current on industry trends, practices, and regulatory impacts
- Bachelor's degree and a minimum of seven (7) 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; some experience working independently on complex projects.
- Hybrid work environment (remote/office) with hours which may extend beyond normal business hours.
- Travel will be required, as necessary.
-
Financial Industry Regulatory Authority , Inc. Rockville, United StatesFINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an excitin ...
-
Financial Industry Regulatory Authority , Inc. Rockville, United StatesFINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an excitin ...
-
Laboratory Technician
1 week ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
CLIA Lab Technician
3 weeks ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
CLIA Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · General Description: The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ar ...
-
CLIA Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
CLIA Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
Credit Administration Analyst
1 week ago
Capital Bank, N.A. Rockville, United States**Position Purpose** · The Credit Administration Analyst, working directly with the Chief Credit Officer (CCO), is responsible for collection, evaluation, and entry of data elements necessary to support the Bank's estimates of lifetime expected credit losses, concentration manage ...
-
CLIA Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
IT Expert
1 week ago
BG CONSULTING SERVICES LLC Rockville, United StatesData system management - i.e., design, development, testing, maintenance, troubleshooting and enhancements · - Data management - i.e., data collection and analysis, data integrity and data mining · - IT reporting - i.e., entity, data type and relationship diagrams · - Data report ...
-
CLIA Lab Technician
1 week ago
Actalent Rockville, United States Full timeDescription: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they are expected to report ...
-
Power BI Developer
2 weeks ago
Hyertek Rockville, United StatesHyerTek, a Washington-based technology solutions company, specializes in delivering innovative and customized solutions to federal government clients and commercial enterprises. Our expertise spans data analytics, cloud computing, collaboration, human-centered design, and trainin ...
-
Construction Executive
3 weeks ago
James G. Davis Construction Rockville, United StatesThe Construction Executive - Field Operations is responsible for multiple projects. This role is responsible for developing, mentoring, and providing overall leadership to project staff with an emphasis on providing direct guidance and leadership to Field Management Staff. This r ...
-
CLIA Lab Technician
1 week ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
CLIA Lab Technician
3 weeks ago
Actalent Rockville, United States Full timeDescription: · General Description: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they ...
-
CLIA Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they are expected to report ...
-
QPCR Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · The CLIA Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they are expected to report ...
-
Clinical Trials Administrator Analyst I
2 weeks ago
The EMMES Corporation Rockville, United StatesOverview: · **Clinical Trials Administrator Analyst I** · **US Remote** · Emmes Group: Building a better future for us all. · Emmes Group is transforming the future of clinical research, bringing the promise of new medical discovery closer within reach for patients. Emmes Group w ...
-
QPCR Lab Technician
2 weeks ago
Actalent Rockville, United States Full timeDescription: · The Lab Technician will work with the General and Technical Supervisors to ensure the success of department goals and efforts. Will be required to be proactive to complete tasks and assignments given; if an issue or problem arises, they are expected to report to th ...
-
Scientific Program Manager
3 weeks ago
Axle Rockville, United States(ID: · **Benefits**: · - 100% Medical, Dental & Vision Coverage for Employees · - Paid Time Off (Including Holidays) · - Employee Referral Bonus · - 401K Match · - Tuition reimbursement and professional development opportunities · - Flexible Spending Accounts: · - Healthcare (FS ...
Associate Principal Analyst, MRTS-Operational Reporting Requirements - Rockville, United States - finra
Description
FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Principal Analyst, MRTS-Operational Reporting Requirements & 17d-2:This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews of moderate to high complexity 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 more complex assignments under the direction of more senior staff.
Essential Job Functions:
Other Responsibilities:
Education & Experience:
Working Conditions:
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $91,500, Maximum Salary $170,900
Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300
New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
Washington State: Minimum Salary $79,500, Maximum Salary $163,700
#LI-Hybrid
