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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory applications, risk analysis, and compliance within the securities industry, while effectively mentoring and training staff to uphold FINRA's mission of investor protection and market integrity.
Highest-signal resume keywords
Regulatory ApplicationsRisk AnalysisSecurities Industry RulesFINRA Securities Industry Essentials (SIE) CertificationAnalytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk IdentificationRegulatory ResponsesBusiness Conduct RiskCompliance ManagementApplication Analysis
Soft Skills
Oral CommunicationWritten CommunicationPresentation SkillsTime ManagementMentoring
Certifications & Qualifications
FINRA Securities Industry Essentials (SIE) Certification
Industry Keywords
FINRAInvestor ProtectionMarket IntegrityComplianceFinancial Regulatory Experience
About the role
Key responsibilities & impact- Lead or participate in files received by the Membership Application Program (MAP), including complex, novel, unique or high-risk applications
- Provide guidance and advice on regulatory applications
- Identify notable trends in industry practices, products and procedures
- Ensure regulatory programs support departmental goals and FINRA’s investor-protection and market-integrity mission
- Assist Analysts with complex, novel, unique or high-risk application analysis
- Ensure applications and other matters are executed efficiently, accurately and on time
- Lead and participate in meetings with member firms with minimal supervision
- Identify ideas for in-house training
- Develop course content and advise the Member Regulation Training unit on technical accuracy
- Mentor and coach other staff
- Moderate and present subject matter at internal meetings and conferences, including new Analyst training and other FINRA training programs
- Participate in district, regional or national Peer and Quality Reviews
- Demonstrate FINRA’s values and leadership characteristics
- Collaborate in-person and virtually to advance FINRA’s mission of investor protection and market integrity
Requirements
What you’ll need- Bachelor’s degree or an equivalent combination of education and experience required
- Proficient knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices
- Proficient knowledge of risk analysis and proactive risk identification
- Strong analytical skills
- Track record in developing appropriate regulatory responses and/or processes for managing risks
- Excellent oral and written communication and presentation skills
- Excellent time management skills
- Minimum of five years of securities, compliance or financial regulatory experience
- 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 collaborate both in-person and virtually
- Ability to work extended hours when required
- Compliance with FINRA’s Code of Conduct, investment restrictions and financial disclosure requirements
- Must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement
- Must comply 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 insurance
- Accidental death and dismemberment insurance
- Supplemental life insurance
- 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 days of paid time off, increasing with years of service up to 25 days
- 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 after 90 days of employment
- Childbirth and parental leave after 90 days of employment
- 9 paid holidays for full-time employees
- Hybrid work environment