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Senior Analyst - Market Regulation, Market Manipulation Investigations - Rockvil

RockvilleFINRA


We Work to Protect Investors. Join our Team.
 
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Analyst opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.
 
Job Summary:
 
The Senior Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA.
 

Position may be filled at various levels depending on experience and job skills of a successful candidate.


 
Essential Job Functions:
  • Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. 
  • Conducts routine reviews and investigations into possible violations of relevant rules and regulations enforced by FINRA.  
  • Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity. 
  • Through the review / investigative process the Analyst resolves situations that may impact the integrity of NASDAQ or other markets. 
  • Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA.
  • Performs preventive compliance functions. 
  • Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion. 
  • Utilizes computer resources and software applications for data analysis pursuant to investigation / review procedures. 
  • Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.

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