Associate Principal Analyst, Surveillance

FINRA

Join FINRA as an Associate Principal Analyst, focusing on trading activity to ensure market integrity. Collaborate with experts to uncover and address potential securities violations.

Posted 7/30/2026full-timeRockville • Colorado, Illinois, Maryland, New York, Texas • 🇺🇸 United StatesJuniorMid-LevelWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in analyzing trading activity for potential violations of federal securities laws and FINRA rules, while contributing to the development of surveillance technology and analytics. Possesses strong report preparation skills and the ability to coach colleagues on best practices in the securities industry.

Highest-signal resume keywords

Securities Rule Violation IdentificationFINRA Rules KnowledgeSurveillance Development LifecycleFINRA Securities Industry Essentials (SIE) CertificationAnalytical Reporting

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Trading Activity AnalysisRegulatory ResearchSurveillance Technology DevelopmentReport PreparationProject Management

Soft Skills

CoachingCollaborationCommunicationGoal-Attainment

Certifications & Qualifications

FINRA Securities Industry Essentials (SIE) Certification

Industry Keywords

Federal Securities LawsFINRAMSRBSecurities Exchange Act of 1934SRO Rules

About the role

Key responsibilities & impact

Investigate with purpose: Analyze trading activity within your area of focus to detect potential violations of federal securities laws, FINRA rules, and RSA client rules
Stay sharp on the rules: Research evolving regulations, guidance, and advisories, and share timely updates with your team
Build better tools: Contribute to testing and developing new analytics, surveillance technology, and detection methods that keep pace with evolving fraud tactics
Tell the story clearly: Prepare well-organized, detailed, and accurate reports that document your findings
Close the loop: Document review steps and outcomes, including referrals to Enforcement and outside agencies
Lead by example: Serve as a subject matter expert, coaching and training colleagues on techniques and best practices
Take on special projects: Deliver high-quality, timely work on initiatives that advance departmental and organizational goals
Grow with support: Work on routine projects with guidance from management as you build toward greater independence
Live our values: Embody FINRA's values of Responsibility, Innovation, Collaboration, and Expertise, and help foster our culture of diversity and inclusion
Participate in cross-team initiatives across Surveillance
Stay current on industry trends, practices, and regulatory developments

Requirements

What you’ll need

Bachelor's degree and a minimum of four (4) years of experience in the securities/financial services industry — or an equivalent combination of education and experience in roles of increasing responsibility
A demonstrated understanding of the surveillance development lifecycle and strong goal-attainment skills
Working knowledge of FINRA, MSRB, and other SRO rules, along with the Securities Exchange Act of 1934 and its associated rules and regulations
Experience identifying potential securities rule violations
Demonstrated ability to work on routine projects independently
FINRA Securities Industry Essentials (SIE) certification — or an acceptable industry equivalent — required upon hire or within 16 months of your assigned SIE training cohort start date

Benefits

Comp & perks

Health, dental and vision insurance
401(k) plan with company match
Tuition reimbursement
Commuter benefits
Employee assistance and wellness programs
15 days of paid time off
5 personal days
9 sick days
2 volunteer service days
Other paid leave including military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave and childbirth and parental leave
9 paid holidays
Flexible work environment