Associate Principal Analyst, Surveillance
Core
Investigate complex trading activity to detect potential violations of federal securities laws and FINRA rules, while developing new analytics and detection methods.
Role type
Associate Principal Analyst (Surveillance)
Builds
Surveillance technology, analytics, and detection methods
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | dashboards & analysis
Required skills
Securities/financial services industry experience, surveillance development lifecycle knowledge, FINRA/MSRB/SRO rules expertise, Securities Exchange Act of 1934 knowledge, securities rule violation identification, independent project execution
Preferred skills
Hands-on experience with surveillance analytics tools, mentoring colleagues on regulatory techniques, contributing to surveillance methodology development
Technologies
Surveillance analytics tools, platforms
Responsibilities
Analyze trading activity to detect potential violations, research and share evolving regulations, test and develop new analytics and detection methods, prepare detailed reports documenting findings, document review steps and outcomes, coach and train colleagues on techniques and best practices
Seniority
Mid-Senior, hands-on IC with mentorship responsibilities
