Teams at FINRA

Conduct surveillance reviews of trading activity to detect potential securities rule violations; research and update on rules and advisories; develop and test analytics and surveillance tools; document findings and referrals; prepare detailed reports; coach and train colleagues; and complete special projects to support market integrity and regulatory objectives.

Lead regulatory risk assessment and strategy for Surveillance by conducting market research, managing analysts, producing executive reports, advising senior leadership, coordinating with regulators (SEC) and internal stakeholders, driving process improvements, supporting inspections/audits, and representing FINRA in external engagements to protect investors and ensure market integrity.

The Associate Principal Analyst reviews advertising communications for compliance with regulations, mentors staff, and conducts complex reviews of materials while responding to inquiries.