FINRA · 1 week ago
Senior Analyst, SMI - Customer Order Handling
Philadelphia, PA (Job Posting)
Full-time
Hybrid
Mid, Senior Level
$81K/yr - $151K/yr
3+ years expFINRA is the Financial Industry Regulatory Authority responsible for overseeing the securities industry. The Senior Analyst position is focused on conducting surveillance reviews to identify unusual market activity and may involve working on special projects under senior staff direction.
FinanceFinancial ServicesNon Profit
Responsibilities
Assists with analyzing trading activity in area of primary responsibility for indications of potential violations
Drafts summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories
Assists with projects for testing and developing new analytics, surveillance tools or processes that detect and deter fraudulent activity, maintaining and enhancing surveillance methods, and developing improved approaches for uncovering violations at the organization's firms
Presents investigative findings to management in an organized, concise, and timely fashion
Follows the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies
Follows area protocols, standards, and policies
Demonstrates an increasing ability to become a subject matter expert
May assist on special projects as required to materially advance the goals and objectives of the business unit or department
Works on routine projects with the assistance of management
Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise in interactions with colleagues, management, FINRA members, and outside parties
Demonstration of FINRA's values
Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity
Participates in initiatives across Surveillance, as needed
Remains current on industry trends, practices, and regulatory impacts
Qualification
Required
Bachelor's degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities
Working knowledge of surveillance development lifecycle and goal attainment skills
Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder
Ability to identify potential securities rule violations
Benefits
Comprehensive health, dental and vision insurance
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
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
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
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)
Childbirth and parental leave (available after 90 days of employment)
Nine paid holidays
Company
FINRA
The Financial Industry Regulatory Authority (FINRA) is an independent regulator for securities firms doing business in the U.S. It is a sub-organization of Thrivent.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Tina Salehi Gubb
Senior Vice President
Michael Solomon
Executive Vice President of Examinations and Membership Application Program
Recent News
Investment News
2026-01-13
2026-01-06
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