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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in surveillance methodologies and regulatory compliance within the securities industry, with a strong ability to analyze trading activities and identify potential violations. Proficient in drafting reports and presenting findings to management while maintaining up-to-date knowledge of industry trends and regulations.
Highest-signal resume keywords
FINRA ComplianceSurveillance Development LifecycleSecurities Rule Violation IdentificationFINRA Securities Industry Essentials (SIE) CertificationRegulatory Knowledge
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Market Activity AnalysisSurveillance Tools DevelopmentRegulatory ReportingData AnalysisDocumentation Skills
Soft Skills
Organizational SkillsCommunication SkillsCollaboration SkillsProblem-Solving Skills
Certifications & Qualifications
FINRA Securities Industry Essentials (SIE) Certification
Industry Keywords
Securities Exchange Act of 1934FINRAMSRBSRO RulesInvestor ProtectionMarket IntegrityCompliance Standards
About the role
Key responsibilities & impact- Conduct routine surveillance reviews to identify unusual market activity and potential violations of federal securities, FINRA and/or RSA client rules and regulations
- Analyze trading activity for indications of potential violations
- Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence and advisories
- Assist with testing and developing analytics, surveillance tools and processes to detect and deter fraudulent activity
- Maintain and enhance surveillance methods and develop improved approaches for uncovering violations
- Present investigative findings to management in an organized, concise and timely manner
- Document review steps and results, including referrals to Enforcement and outside agencies
- Follow area protocols, standards and policies
- Develop increasing subject matter expertise
- Assist on special projects and routine projects with management support
- Collaborate in person and virtually in furtherance of FINRA’s investor protection and market integrity mission
- Participate in initiatives across Surveillance as needed
- Remain current on industry trends, practices and regulatory impacts
Requirements
What you’ll need- Bachelor’s degree and a minimum of three (3) years of experience in the securities/financial services industry; or an equivalent combination of education and experience in positions of increasing responsibilities
- Working knowledge 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
- Ability to identify potential securities rule violations
- 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
- Ability to work in a hybrid environment with defined in-person presence requirements
- Ability to work beyond normal business hours when needed
- Ability to travel as necessary
- Compliance with FINRA’s Code of Conduct, investment restrictions, financial disclosure requirements, Employee Confidentiality and Invention Assignment Agreement, and nepotism policy
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
- Wellness programs
- Paid time off starting at 15 days, 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