Principal Analyst, Manipulation (Securities Surveillance)

Location: Hybrid work with defined in-person presence requirements in U.S. locations including Rockville, Jericho, Denver, Chicago, Boston, Boca Raton, Plano, Tysons, Jersey City, Woodbridge, Washington, Philadelphia, New York, Los Angeles, and San Francisco. Travel may be required, and hours may extend beyond normal business hours.

Salary: $97,700–$211,400 annually, depending on location, skills, experience, education, and market considerations.

Company

hirify.global is a securities regulator focused on investor protection and market integrity.

What you will do

• Conduct routine and complex surveillance reviews to identify potential violations of federal securities, hirify.global, MSRB, and RSA Client Exchange rules.
• Research rules, regulations, intelligence, and advisories and provide updates to management.
• Test and develop analytics, surveillance tools, and processes for detecting and deterring fraudulent activity.
• Document review steps and results, including referrals to Enforcement and outside agencies.
• Communicate with firms, registered and associated persons, investors, and other parties.
• Mentor and coach colleagues, participate in Surveillance initiatives, and lead special projects.

Requirements

• Bachelor’s degree and at least seven years of experience in the securities or financial services industry, or an equivalent combination of education and progressively responsible experience.
• Understanding of the surveillance development lifecycle and goal attainment skills.
• Working knowledge of hirify.global, MSRB, and other SRO rules, as well as the Securities Exchange Act of 1934 and related regulations.
• Experience identifying potential securities rule violations.
• Experience working independently on routine projects and some experience working independently on complex projects.
• hirify.global Securities Industry Essentials (SIE) certification or an acceptable industry equivalent is required upon hire or within 16 months of the assigned SIE training cohort start date.
• Employees must comply with hirify.global investment disclosure and securities account restrictions, including moving reportable accounts to firms providing an electronic data feed within three months of employment.
• Employees must execute hirify.global’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s nepotism policy.

Culture & Benefits

• Hybrid collaboration with in-person and virtual work supporting investor protection and market integrity.
• Health, dental, vision, life, disability, long-term care, legal, and business travel insurance.
• 401(k) plan with company match and eligibility for an additional hirify.global-funded retirement contribution.
• Tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Paid time off starting at 15 days, five personal days, nine sick days, two volunteer service days, nine paid holidays, and additional statutory and family-related leave.
• Eligible employees may receive a discretionary bonus; non-exempt employees may receive overtime pay.

Hiring process

• Submit an application through the hirify.global Careers site; applications are accepted on an ongoing basis.
• Search firms may submit resumes only under a valid written agreement and task order.