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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expert knowledge of FINRA's risk hierarchy, securities rules and regulations, and firm business models while effectively managing operational risk and compliance initiatives. Possesses advanced analytical skills and the ability to lead strategic implementation plans in a regulatory environment.
Highest-signal resume keywords
Expert Knowledge Of FINRA's Risk HierarchySignificant Securities Compliance ExperienceAdvanced Analytical SkillsFINRA Securities Industry Essentials (SIE) CertificationProject Management Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Operational Risk ManagementRegulatory ComplianceFinancial AnalysisRisk MonitoringProcedural Control AssessmentCorrective Action ImplementationFraud DetectionClient Asset Segregation Risk ManagementProject ManagementTime Management
Soft Skills
Advanced Verbal CommunicationAdvanced Written CommunicationAutonomyIndependent JudgementCollaboration
Tools & Technologies
Microsoft ExcelMicrosoft WordMicrosoft PowerPoint
Certifications & Qualifications
FINRA Securities Industry Essentials (SIE) CertificationRelevant Industry Certification
Industry Keywords
FINRASecurities RulesFinancial Regulatory ExperienceInvestor ProtectionMarket Integrity
About the role
Key responsibilities & impact- Spearhead operational risk event and incident remediations and escalations
- Assess, refine, and monitor key procedural controls
- Oversee development and implementation of procedures and technology for the Risk Intelligence Operations Center
- Periodically assess practices and determine whether procedures need to be developed or updated
- Identify, prioritize, and resolve areas of inconsistent procedural application
- Determine corrective courses of action or document the rationale for retaining inconsistencies
- Develop and support the program’s strategic leadership approach
- Monitor industry developments and work with management and other departments to evolve the program
- Develop recommendations for corrective action implementation plans and lead implementation efforts
- Coordinate responses, talking points, and document productions relating to regulatory oversights, access requests, and ad hoc information requests
- Respond to Internal Audit and FINRA CCO exams and inquiries and create and implement resolution plans for related findings and conclusions
- Collaborate in person and virtually in furtherance of FINRA’s investor protection and market integrity mission
Requirements
What you’ll need- Bachelor's Degree or an equivalent combination of education and experience required
- Major in Accounting, Finance, Economics, Business Administration, or related fields preferred
- MBA, JD, other graduate degree and/or relevant industry certification(s) preferred
- Significant securities, compliance or financial regulatory experience
- Prior experience in FINRA’s Exam and/or Risk Monitoring program preferred
- Advanced analytical skills and experience in the financial industry
- Demonstrated experience relating to operational, sales practice, fraud and deception, money laundering, regulatory capital accuracy, credit, market, liquidity, and/or segregation of client assets risks
- Significant experience managing projects and/or people
- 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
- Expert knowledge of FINRA's risk hierarchy
- Expert knowledge of securities rules and regulations
- Expert knowledge of firm business models, business lines, customer bases, products and services
- Expert knowledge of FINRA departments and their mandates
- Ability to administer very complex assignments concurrently, including unstructured assignments requiring autonomy and independent judgement
- Advanced verbal and written communication skills
- Intermediate-to-Advanced proficiency in Microsoft Excel, Word, and PowerPoint
- Advanced ability to manage time effectively
- Demonstration of FINRA’s values
Benefits
Comp & perks- Discretionary bonus may be available in addition to base pay
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life 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
- Nine paid holidays for full-time employees
- Hybrid work environment