Associate Principal Analyst, Surveillance at FINRA in Rockville, MD

About FINRA FINRA (the Financial Industry Regulatory Authority) is a not-for-profit, self-regulatory organization dedicated to protecting investors and ensuring the integrity of America's financial markets. We oversee brokerage firms and their registered representatives, working every day to make sure the markets operate fairly and transparently — so investors can trust the system and the industry can thrive. If you're looking for meaningful, mission-driven work that directly safeguards the financial well-being of everyday Americans, FINRA offers a career where your expertise truly matters.

The Opportunity Are you a sharp analytical thinker who thrives on uncovering patterns others might miss? Join our Surveillance team and play a front-line role in detecting and deterring market misconduct. As an Associate Principal Analyst, you'll dig into complex trading activity, spot red flags, and help hold bad actors accountable — all while sharpening your expertise alongside some of the industry's best regulatory professionals. This role offers real ownership: you'll drive moderate-to-high complexity reviews independently, while still having senior mentors in your corner for the trickiest cases.

What You'll Do

• 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.

Other Ways You'll Contribute

• Participate in cross-team initiatives across Surveillance.
• Stay current on industry trends, practices, and regulatory developments.

What You'll Bring

Required Qualifications

• 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.

Preferred Qualifications

• Prior hands-on experience with surveillance analytics tools or platforms.
• A track record of mentoring or training colleagues on regulatory techniques and processes.
• Experience contributing to the development or enhancement of surveillance methodologies.

Working Conditions

• Hybrid work environment (a flexible mix of remote and in-office time).
• Some hours may extend beyond standard business hours to meet the demands of the role.
• Occasional travel as needed.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at 240-386-4865 or by email at EmployeeRelations@FINRA.org. Please note that this process is exclusively for inquiries regarding accommodations in the application process.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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