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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates advanced knowledge of FINRA's risk fundamentals and securities rules, with strong analytical skills to assess inherent risks and develop regulatory responses. Proven ability to mentor junior staff and collaborate across departments to support investor protection and market integrity.
Highest-signal resume keywords
FINRA Securities Industry Essentials (SIE) CertificationAdvanced Knowledge of FINRA's Risk FundamentalsIntermediate-to-Advanced Knowledge of Securities Rules and RegulationsDemonstrated Analytical Skills in Financial IndustryExperience with Regulatory Developments and Business Models
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 MonitoringFinancial AnalysisRegulatory IntelligenceData AnalysisQuantitative SkillsProblem-SolvingU.S. GAAP Accounting StandardsBusiness Model AnalysisFraud and Deception Risk AssessmentMoney Laundering Risk Assessment
Soft Skills
LeadershipMentoringCommunicationCollaborationAutonomy
Tools & Technologies
Microsoft ExcelMicrosoft Word
Certifications & Qualifications
Bachelor's Degree in Finance, Accounting, Business or Related FieldRelevant Industry Certification(s)
Industry Keywords
FINRAInvestor ProtectionMarket IntegrityRisk AssessmentRegulatory ComplianceFinancial Disclosure RequirementsInvestment RestrictionsConfidentialityNepotism Policy
About the role
Key responsibilities & impact- Conduct risk monitoring activities and ongoing risk assessments of FINRA members
- Support the Risk Monitoring Director in identifying existing and emerging risks
- Interact with internal and external parties regarding risk monitoring
- Conduct monitoring of complex or elevated-risk firms with guidance and minimal supervision
- Collaborate with internal departments to analyze, communicate, and recommend actions regarding regulatory intelligence
- Mentor and coach junior risk monitoring staff
- Serve in leadership roles on special projects and technology initiatives
- Coordinate with specialists and team members to execute monitoring against assigned firms
- Identify and trend industry and business model risks for reporting to senior management
- Support 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
- Relevant industry certification(s) preferred
- Demonstrated analytical skills and experience, including financial industry experience
- Experience absorbing and applying regulatory developments to complex business models
- Experience relating to one or more inherent industry risks, such as Fraud and Deception, Money Laundering, and Market risks
- 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
- Advanced knowledge of FINRA's risk fundamentals
- Intermediate-to-Advanced knowledge of securities rules and regulations
- Intermediate-to-Advanced knowledge of firm business models, business lines, customer bases, products and services
- Intermediate 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
- Ability to administer 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 and develop regulatory responses
- Intermediate-to-Advanced proficiency in Microsoft Excel and Microsoft Word
- Intermediate-to-Advanced quantitative, analytical, and problem-solving skills
- Must comply with FINRA Code of Conduct, investment restrictions, financial disclosure requirements, confidentiality and invention assignment agreement, and nepotism policy
Benefits
Comp & perks- Discretionary bonus eligibility
- 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, 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