Top Tech Jobs & Startup Jobs in NYC, NY

Monitors trade reporting integrity and real-time data dissemination issues for regulatory compliance. Analyzes trade data and market events, develops KPIs and data collection methods, and delivers executive-level reporting and recommendations. Coordinates internal teams, external firms, and regulators during emergencies and industry initiatives. Provides subject matter expertise on securities market structure, SEC requirements, and FINRA regulations while supporting trading systems during extended hours and mentoring junior colleagues.

Monitors FINRA trade reporting facilities, reviews alerts, responds to member firm and vendor inquiries, identifies potential securities rule violations, documents activities, and prepares leadership reports. The role supports market integrity through regulatory analysis, database maintenance, process improvement, analytics tool testing, and policy development. It requires independent judgment, collaboration with senior staff, and scheduled coverage of trading systems during defined operating hours.

Monitors FINRA trade reporting facilities during extended hours, investigates alerts and inquiries, identifies potential securities rule violations, documents reviews, and communicates findings to leadership. The role supports member firms, vendors, exchanges, and regulatory organizations; maintains operational databases; contributes to policies, procedures, analytics tools, and process improvements; and applies FINRA and securities regulations to promote market integrity and investor protection.