FINRA · 20 hours ago
Senior Principal Analyst, SMI-Capital Raising, Fraud
Rockville, MD
Full-time
Hybrid
Senior Level, Lead/Staff
$128K/yr - $192K/yr
8+ years expFINRA is a regulatory authority in the financial industry, and they are seeking a Senior Principal Analyst for their Surveillance and Market Intelligence section. This role involves conducting complex surveillance reviews, mentoring staff, and identifying violations of federal securities and FINRA rules.
Non ProfitFinanceFinancial Services
Responsibilities
Conducts comprehensive surveillance reviews of possible violations of rules and federal securities laws with minimal supervision
Proactively identifies notable and emerging trends, threats, and/or issues applicable to Surveillance or other core functions including researching and monitoring for updates to rules, regulations, guidelines, and intelligence
Conducts advanced processes for testing and developing new surveillance tools or processes that detect and deter violative activity
Communicates both verbally and in writing with firms, registered and associated persons, investors, and others
Implements a process for the team’s 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
Ensures that all regulatory requests are fulfilled in a timely and accurate manner
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 complex and prolonged projects
Represents FINRA in internal/external 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
Assist management with the preparation of materials/information for speaking engagements with various internal and external constituencies
Participates in multi-level initiatives across Regulatory Operations
Provides subject matter expertise in regulatory area to advance FINRA and industry initiatives (e.g., CAT, Notice to Members, rule filings, market events, congressional testimony preparation)
Remains current on industry trends, practices, and regulatory impacts
Qualification
Required
Bachelor's degree and a minimum of eight (8) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities
Demonstrated project management, process improvement, understanding of surveillance development lifecycle and goal attainment skills
Extensive working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934 and the rules and regulations thereunder
Extensive experience identifying potential securities rule violations
Demonstrated ability to lead and produce outstanding measurable results
Requires excellent written and verbal communications skills, including interpersonal and presentation skills
Strong organizational skills and excellent attention to detail
Advanced time management, prioritization and strong analytical skills required
Experience working on complex projects independently
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
401(k) plan with company match
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 (based on full-time schedule)
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
Regulatory Compliance Watch
2026-02-06
2026-02-05
Investment News
2026-01-13
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