The Principal Analyst will lead complex risk assessments, analyze regulatory trends, mentor junior staff, and advise senior leadership on strategic risk initiatives to protect investor interests and maintain market integrity.

The Associate Principal Analyst conducts surveillance reviews to identify unusual market activities, documents findings, and collaborates on improving surveillance tools and techniques.

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts performance assessments while ensuring regulatory adherence and quality work.