Senior Analyst, Customer Order Handling
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • Colorado • Illinois • United States
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Salary
💰 $70,600 - $151,300 per year
Job Level
About the role
- Conduct routine surveillance reviews to identify unusual market activity
- Draft summaries of internal updates regarding rules, regulations, guidelines
- Assist with projects for testing and developing new analytics
- Present investigative findings to management and follow documentation processes
- Participate in initiatives across Surveillance
Requirements
- Bachelor’s degree
- Minimum of three (3) years of experience in the securities/financial services industry
- Working knowledge of surveillance development lifecycle
- Ability to identify potential securities rule violations
- Knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934
Benefits
- Health insurance
- 401(k) matching
- Paid time off
- Remote work options
- Professional development opportunities
- Employee assistance programs
- Tuition reimbursement
- Paid holidays
- Volunteer service days
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
surveillance development lifecycleanalytics developmentinvestigative reporting
Soft Skills
communicationpresentationdocumentation