Teams at FINRA

Analyze trading activity to detect potential securities law and SRO rule violations, research regulatory developments, contribute to surveillance analytics and detection methods, prepare detailed reports and referrals, coach colleagues, and support cross-team projects and special initiatives.

The Associate Principal Analyst reviews advertising materials for compliance with regulatory standards, mentors junior staff, and ensures quality and timely responses to inquiries.

Conducts moderate-to-high complexity market surveillance to identify potential securities rule violations, develops and tests analytics and surveillance tools, documents reviews and referrals, prepares detailed reports, coaches colleagues, and supports special projects to advance regulatory surveillance goals and industry compliance.