Principal Analyst, SMI Capital Raising – Fraud
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • Colorado • District of Columbia • United States
Visit company websiteExplore more
Salary
💰 $95,300 - $206,200 per year
Job Level
About the role
- Conducts complex surveillance reviews under minimal supervision
- Guides team members in documentation processes and results
- Research updates on rules and regulations
- Develops new analytics and surveillance tools
- Represents FINRA in internal meetings
- Participates in special projects to advance departmental goals
Requirements
- Bachelor’s degree
- Minimum of seven (7) years of experience in the securities/financial services industry
- Demonstrated understanding of surveillance development lifecycle
- Working knowledge of FINRA, MSRB, and other SRO rules
- Experience identifying potential securities rule violations
- Ability to work independently on complex projects
Benefits
- Comprehensive health, dental and vision insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Paid time off including 15 days of vacation, 5 personal days and 9 sick days
- Two volunteer service days
- Immediate participation and vesting in retirement plan
- Additional insurance options: basic life, accidental death and dismemberment, short- and long-term disability, long-term care, and business travel accident insurance
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
surveillance reviewsanalytics developmentsurveillance tools
Soft Skills
guidanceindependent workproject management
Certifications
Bachelor's degree