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About the role
Key responsibilities & impact- Conduct routine surveillance reviews to identify unusual market activity
- Assist with analyzing trading activity for indications of potential violations
- Draft summaries of internal updates regarding rules, regulations, guidelines, intelligence, and advisories
- Assist with projects for testing and developing new analytics, surveillance tools, or processes
- Present investigative findings to management in an organized, concise, and timely fashion
- Follow the process for the documentation of review steps and results
Requirements
What you’ll need- Bachelor’s degree
- 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
- Ability to identify potential securities rule violations
Benefits
Comp & perks- comprehensive health, dental and vision insurance
- basic life and accidental death insurance
- supplemental life insurance
- short- and long-term disability insurance
- long-term care insurance
- business travel accident insurance
- generous time-off program (15 days paid time off, 5 personal days, 9 sick days)
- two volunteer service days
- 401(k) plan with company match
- tuition reimbursement
- commuter benefits
- adoption assistance
- backup family care
- surrogacy benefits
- employee assistance programs
- wellness programs
- discretionary bonus in addition to base pay
- overtime pay eligibility for non-exempt employees
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
surveillance reviewstrading activity analysisanalytics developmentsurveillance toolsdocumentation of review stepsFINRA knowledgeMSRB knowledgeSecurities Exchange Act of 1934 knowledgegoal attainment skillsidentifying securities rule violations
Soft Skills
organizational skillscommunication skillspresentation skillsanalytical skillsattention to detailtimelinesscollaborationproblem-solvingcritical thinkingreport writing