FREE ACCESS
5,000–10,000 jobs/day
See all jobs on Scoutfield
Search thousands of fresh jobs every day.
Discover
- Fresh listings
- Fast filters
- No subscription required
Create a free account and start exploring right away.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates strong analytical skills and financial industry experience to conduct risk assessments and monitor regulatory compliance. Proficient in collaborating across departments and mentoring staff while applying knowledge of FINRA regulations and risk fundamentals.
Highest-signal resume keywords
Risk MonitoringFINRA Securities Industry Essentials (SIE) CertificationFinancial AnalysisRegulatory ComplianceAnalytical 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 AssessmentFinancial AnalysisRegulatory IntelligenceData AnalysisU.S. GAAP Accounting StandardsSecurities Rules and RegulationsBusiness Model AnalysisProblem-SolvingMicrosoft ExcelMicrosoft Word
Soft Skills
Communication SkillsMentoringCollaborationAutonomyJudgment
Certifications & Qualifications
FINRA Securities Industry Essentials (SIE) CertificationMBAJD
Industry Keywords
FINRARisk FundamentalsFraud and DeceptionMoney LaunderingMarket RiskInvestor ProtectionMarket IntegrityFinancial IndustryRegulatory DevelopmentsComplex Business Models
About the role
Key responsibilities & impact- Conduct risk monitoring activities and ongoing risk assessments of FINRA members
- Report to and support a Risk Monitoring Director in identifying existing and emerging risks
- Conduct risk monitoring for member firms, including complex or elevated risk firms, with guidance and moderate supervision
- Collaborate with internal departments to analyze, communicate, and make recommendations regarding regulatory intelligence
- Mentor and coach entry-level risk monitoring staff
- Serve in leadership roles related to special projects and technology initiatives
- Work as part of a monitoring team, including coordination with specialists, to execute against risks of assigned firms
- Collaborate in person and virtually to advance FINRA’s mission of investor protection and market integrity
Requirements
What you’ll need- Bachelor's Degree in Finance, Accounting, Business or related field(s), or equivalent combination of education and relevant experience required
- Graduate degree (MBA or JD) and/or relevant industry certification(s) preferred
- Demonstrated analytical skills and experience, including financial industry experience, absorbing/processing regulatory developments and applying them to complex business models
- Demonstrated experience relating to one or more inherent industry risks, such as Fraud and Deception, Money Laundering, and Market risk
- 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
- Intermediate knowledge of FINRA's risk fundamentals
- Intermediate knowledge of securities rules and regulations
- Intermediate knowledge of firm business models, business lines, customer bases, products and services
- Basic knowledge of U.S. GAAP accounting standards
- Ability to work effectively with senior business management, across departments, and with staff in multiple locations
- Intermediate written and verbal communication, financial analysis, and research skills
- Developing ability to administer increasingly complex assignments concurrently, including unstructured assignments requiring autonomy and independent judgment
- Intermediate-to-Advanced ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses
- Intermediate proficiency in Microsoft Excel and Microsoft Word
- Intermediate quantitative, analytical, and problem-solving skills, including the ability to organize and assimilate large amounts of information
- Must demonstrate FINRA’s values
- Hybrid work environment with defined in-person presence requirements
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 programs
- 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