FINRA · 22 hours ago
Principal Analyst, SMI Capital Raising - Fraud
Rockville, MD
Full-time
Hybrid
Senior Level, Lead/Staff
$110K/yr - $206K/yr
7+ years expFINRA is a regulatory organization that oversees the securities industry, and they are seeking a Principal Analyst to conduct complex surveillance reviews and identify violations of securities laws. The role involves mentoring staff, conducting research, and developing surveillance tools to enhance the organization's compliance efforts.
FinanceFinancial ServicesNon Profit
Responsibilities
Conducts routine reviews in search of possible violations of rules and federal securities laws with moderate supervision
Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, and advisories
Conducts processes 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
Communicates both verbally and in writing with firms, registered and associated persons, investors, and others
Guides team members in the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies
Demonstrates subject matter expertise and an ability to coach and train colleagues in techniques, processes, and responsibilities
Participates actively in and plays a leading role in special projects, and completes such projects in a timely, accurate and high-quality manner to materially advance the goals and objectives of the business unit or department
Works independently on routine projects; ability to work independently on complex projects
Represents FINRA in internal meetings
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 seven (7) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities
Demonstrated understanding 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
Experience identifying potential securities rule violations
Experience working on routine projects independently; some experience working independently on complex projects
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
Generous time-off program of 15 days of paid time off, 5 personal days and 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
Childbirth and parental leave
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
Michael Solomon
Executive Vice President of Examinations and Membership Application Program
Omer Meisel
Executive Vice President of the National Cause and Financial Crimes Detection Program
Recent News
Investment News
2026-01-13
2026-01-06
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