Reporting analyst Jobs in Independence mo

This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews of moderate to high complexity 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 more complex assignments under the direction of more senior staff.

Essential Job Functions :

• Analyzes trading activity in area of primary responsibility for indications of potential violations.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligences, and advisories.
• Completes assigned tasks 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.
• Prepares well-organized, detailed, and accurate reports.
• Completes 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.
• Works on special projects as required 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 on routine projects with the assistance of management.
• Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.

Other Responsibilities :

Education & Experience Requirements :

Working Conditions :

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons .

California : Minimum Salary $91,500, Maximum Salary $170,900

Washington, DC / Maryland : Minimum Salary $91,500, Maximum Salary $163,700

Colorado / Hawaii / Minnesota / Vermont : Minimum Salary $79,500, Maximum Salary $142,300

New York, NY : Minimum Salary $95,400, Maximum Salary $170,900

Washington State : Minimum Salary $79,500, Maximum Salary $163,700

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