Teams at FINRA

Conducts securities market surveillance reviews to identify unusual trading activity and potential violations of FINRA, federal, and client rules. Responsibilities include researching regulations, documenting findings, preparing reports, referring cases for investigation, supporting surveillance analytics and process improvements, and coaching colleagues. The role also involves special projects, industry monitoring, and collaboration across Regulatory Operations in a hybrid environment.

Conducts securities-market surveillance reviews to identify unusual trading activity and potential violations of federal, FINRA, MSRB, and client rules. Analyzes trading activity, documents investigations, drafts regulatory updates, presents findings, and supports the development and enhancement of surveillance analytics, tools, and processes. The role also participates in cross-functional initiatives and special projects within Regulatory Operations.

Conducts risk monitoring and ongoing assessments of FINRA member firms, including complex and elevated-risk organizations. Analyzes regulatory intelligence, financial data, business models, and industry risks; communicates findings and recommends regulatory responses. Collaborates across departments, supports technology initiatives and special projects, and mentors entry-level staff. The role requires applying securities regulations, assessing risks such as fraud, money laundering, and market risk, and reporting trends to senior management in a hybrid work environment.