Senior Analyst, Fraud Detection

Job description

This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on special projects under the direction of more senior staff. Assist with analyzing trading activity in area of primary responsibility for indications of potential violations. Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories. Assist 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. Present investigative findings to management in an organized, concise, and timely fashion. Follow the process for the documentation of review steps and results, including referrals to Enforcement and outside agencies. Follow area protocols, standards, and policies. Demonstrates an increasing ability to become a subjec...