Senior Principal Analyst, Capital Raising, Fraud
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • Colorado • Illinois • United States
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Salary
💰 $128,000 - $242,600 per year
Job Level
About the role
- Conduct comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision
- Proactively identify notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions
- Conduct advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity
- Communicate both verbally and in writing with firms, registered and associated persons, investors, and others
- Implement a process for the team’s documentation of review steps and results
- Demonstrate subject matter expertise and an ability to coach and train colleagues
- Ensure that all regulatory requests are fulfilled in a timely and accurate manner
- Participate actively in and play a leading role in special projects
Requirements
- Bachelor’s degree and a minimum of eight (8) years of experience in the securities/financial services industry
- Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills
- Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934
- Extensive experience identifying potential securities rule violations
- Requires excellent written and verbal communications skills, including interpersonal and presentation skills
- Strong organizational skills and excellent attention to detail
- Advanced time management, prioritization and strong analytical skills required
- Experience working on complex projects independently.
Benefits
- Health insurance
- Dental insurance
- Vision insurance
- Life insurance
- Accidental death and dismemberment insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Legal insurance
- Comprehensive wellness programs
- 401(k) plan with company match
- FINRA-funded retirement contributions
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Generous time-off program of 15 paid days off, 5 personal days, and 9 sick days.
- Two 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 reviewssurveillance tools developmentproject managementprocess improvementanalytical skillstime managementgoal attainmentdocumentation processesregulatory compliancesecurities rule violation identification
Soft Skills
communication skillsinterpersonal skillspresentation skillsorganizational skillsattention to detailcoachingtrainingleadershipproblem-solvingindependent work