Associate Principal Analyst, Customer Order Handling

FINRA

. Conduct routine surveillance reviews of moderate to high complexity to identify unusual market activity and potential violations .

Posted 11/10/2026full-timeUnited StatesMid-Level💰 $76,139 - $180,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in surveillance development lifecycle and regulatory compliance within the securities industry, with a strong ability to analyze trading activity and identify potential violations. Proficient in preparing detailed reports and coaching colleagues on surveillance techniques and processes.

Highest-signal resume keywords

Surveillance Development LifecycleFINRA Rules KnowledgeSecurities Rule Violation IdentificationFINRA Securities Industry Essentials CertificationAnalytical Reporting Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Market Activity AnalysisSurveillance Tool DevelopmentFraud Detection TechniquesRegulatory ResearchProject Management

Soft Skills

Coaching and TrainingDetail OrientationCollaborationCommunication

Certifications & Qualifications

FINRA Securities Industry Essentials Certification

Industry Keywords

Securities IndustryFinancial ServicesComplianceSecurities Exchange Act of 1934FINRAMSRBSRO Rules

About the role

Key responsibilities & impact

Conduct routine surveillance reviews of moderate to high complexity to identify unusual market activity and potential violations
Analyze trading activity for indications of potential violations
Research and provide internal updates regarding rules, regulations, guidelines, intelligence, and advisories
Test and develop analytics, surveillance tools, and processes that detect and deter fraudulent activity
Maintain and enhance surveillance methods and develop improved approaches for uncovering violations
Prepare well-organized, detailed, and accurate reports
Document review steps and results, including referrals to Investigations and outside agencies
Coach and train colleagues in techniques, processes, and responsibilities
Work on special projects and routine projects with management assistance
Participate in initiatives across Surveillance
Remain current on industry trends, practices, and regulatory impacts
Demonstrate FINRA’s values and support its diversity and inclusion culture in interactions with colleagues, management, FINRA members, and outside parties

Requirements

What you’ll need

Bachelor’s degree and a minimum of four (4) 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
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort
Ability to work hours that may extend beyond normal business hours
Willingness and ability to travel as necessary
Compliance with FINRA investment restrictions, financial disclosure requirements, and securities account e-feed requirements
Ability to execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification
Compliance with the company’s policy on nepotism

Benefits

Comp & perks

Discretionary bonus eligibility
Overtime pay for non-exempt employees
Comprehensive health, dental and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance
Wellness programs
15–25 days of paid time off
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
9 paid holidays for full-time employees
Hybrid work environment