Associate Principal Analyst – Insider Trading Detection, Equity
FINRA
full-time
Posted on:
Location Type: Hybrid
Location: Rockville • Colorado • Illinois • United States
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Salary
💰 $83,600 - $180,400 per year
About the role
- Conduct routine surveillance reviews of moderate to high complexity
- Analyze trading activity for indications of potential violations
- Research and provide internal updates regarding rules, regulations, guidelines, intelligences, and advisories
- Complete assigned tasks for testing and developing new analytics
- Maintain and enhance surveillance methods
- Develop improved approaches for uncovering violations
- Prepare detailed and accurate reports
- Document review steps and results
- Coach and train colleagues in techniques and responsibilities
Requirements
- Bachelor’s degree
- Minimum of four (4) years of experience in the securities/financial services industry
- Understanding of surveillance development lifecycle
- Working knowledge of FINRA, MSRB and other SRO rules
- Experience identifying potential securities rule violations
- Experience working on routine projects independently
Benefits
- Health insurance
- Dental insurance
- Vision insurance
- Basic life insurance
- Accidental death and dismemberment insurance
- Supplemental life insurance
- Short-term disability
- Long-term disability
- Long-term care insurance
- Business travel accident insurance
- Legal services insurance
- 401(k) plan with company match
- FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- 15 days of paid time off
- 5 personal days
- 9 sick days
- Two volunteer service days
- Military leave
- Jury duty leave
- Bereavement leave
- Childbirth and parental leave
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
surveillance reviewstrading activity analysisanalytics developmentreport preparationdocumentationviolation identificationsurveillance development lifecycle
Soft Skills
coachingtrainingcommunication
Certifications
Bachelor's degree