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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in surveillance development lifecycle, regulatory compliance, and fraud detection within the securities and financial services industry. Proven ability to mentor and guide teams while effectively communicating with various stakeholders.
Highest-signal resume keywords
Surveillance Development LifecycleFINRA Rules KnowledgeSecurities Rule Violation IdentificationFINRA Securities Industry Essentials CertificationIndependent Project Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Surveillance ReviewsFraud Detection AnalyticsRegulatory ResearchDocumentation TechniquesProject CompletionData AnalysisCompliance MonitoringRisk Assessment
Soft Skills
MentoringCoachingCommunicationCollaborationLeadership
Tools & Technologies
Surveillance ToolsAnalytics Software
Certifications & Qualifications
FINRA Securities Industry Essentials Certification
Industry Keywords
SecuritiesFinancial ServicesFINRAMSRBSecurities Exchange Act of 1934Regulatory ComplianceInvestor ProtectionMarket Integrity
About the role
Key responsibilities & impact- Conduct complex and routine surveillance reviews under minimal supervision
- Identify violations of applicable federal securities, FINRA and RSA Client Exchange rules
- Mentor staff and guide them through routine surveillance reviews
- Research and provide management updates on rules, regulations, guidelines, intelligence and advisories
- Test and develop analytics, surveillance tools and processes to detect and deter fraudulent activity
- Maintain and enhance surveillance methods and develop improved approaches for uncovering violations
- Communicate verbally and in writing with firms, registered and associated persons, investors and other parties
- Guide team members in documenting review steps and results, including referrals to Enforcement and outside agencies
- Coach and train colleagues in techniques, processes and responsibilities
- Lead and participate in special projects and complete them accurately and on time
- Work independently on routine and complex projects
- Represent FINRA in internal meetings
- Collaborate in person and virtually to advance investor protection and market integrity
- Participate in initiatives across Surveillance
- Stay current on industry trends, practices and regulatory impacts
Requirements
What you’ll need- Bachelor’s degree and a minimum of seven (7) 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
- Some experience working independently on complex projects
- FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort
- Defined in-person presence requirements in a hybrid work environment
- Ability to work beyond normal business hours when required
- Ability to travel as necessary
- FINRA employees must comply with the Code of Conduct, investment restrictions and financial disclosure requirements
- Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism
Benefits
Comp & perks- Discretionary bonus may be available in addition to base pay
- Overtime pay eligibility 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 days of paid time off initially, 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