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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory operations, data analysis, and machine learning to develop strategic solutions for market integrity and investor protection. Proficient in designing and implementing data-driven frameworks and conducting regulatory analyses using large datasets.
Highest-signal resume keywords
Machine Learning ExperienceStatistical Analysis SkillsData Engineering SkillsRegulatory Compliance KnowledgeAdvanced Degree in Relevant Field
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Data AnalysisStatistical TechniquesMachine Learning ApproachesData-Driven SolutionsQuantitative AnalysisMulti-Terabyte DatasetsRegulatory Impact AssessmentsInvestigatory Solutions DesignData VisualizationScalable Technical Solutions
Soft Skills
CollaborationCommunicationProject CoordinationProblem SolvingAdaptability
Industry Keywords
Regulatory OperationsFINRA ComplianceMarket ManipulationMarket Conduct ViolationsInvestor ProtectionSurveillance ProgramsData AnalyticsBusiness ManagementStrategic DatasetsConfidentiality Policies
About the role
Key responsibilities & impact- Provide business management and knowledge discovery for Regulatory Operations strategic and analytical development efforts
- Participate in or lead the design and implementation of complex data-driven solutions for regulatory matters and surveillance programs
- Work with senior staff to conduct and present regulatory analyses
- Build scalable technical solution frameworks for single-domain and multi-domain use
- Generate insights from multi-terabyte distributed datasets
- Identify and share insights to improve current and future surveillance programs
- Recommend strategic datasets for investigatory and surveillance functions
- Collaborate on trends in regulatory, data, analytics, and machine learning domains
- Design quantitative multi-market and multi-product investigatory solutions for market manipulation and market conduct violations
- Provide written and visual analysis artifacts to senior personnel
- Enhance and evolve the surveillance investigatory program in response to market trends
- Provide quantitative support for market studies, examinations, and investigations
- Identify business problems solvable with machine learning
- Perform regulatory impact assessments for industry, FINRA, and RSA client initiatives
- Adapt investigatory, referral, and examination programs to new rules and initiatives
- Support communication of program vision, strategy, operations, processes, and implementation status
- Coordinate assigned tasks and projects and provide status reports
- Fulfill administrative reporting tasks
- Participate in ad hoc special projects and national initiatives
- Collaborate in person and virtually in support of investor protection and market integrity
Requirements
What you’ll need- Graduate degree in Computer Science, Economics, Finance, or Business, with a minimum of eight years of experience in the field, including at least four years of machine learning experience
- Experience can be substituted for an advanced degree
- Strong statistical and software engineering skills
- Substantial experience analyzing large amounts of data efficiently and scalably
- Advanced degree highly desirable
- Ability to use specialized statistical techniques and machine learning approaches
- Experience with multi-terabyte distributed datasets
- Some travel required
- Compliance with FINRA investment restrictions, brokerage-account disclosures, confidentiality and invention assignment agreement, and nepotism policy
Benefits
Comp & perks- Discretionary bonus eligibility
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and 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
- Overtime pay eligibility for non-exempt employees