Key skills
Analytics
About this role
Role Overview
- Conduct routine surveillance reviews of moderate to high complexity
- Analyze trading activity for indications of potential violations
- Research and provide internal updates regarding rules, regulations, guidelines
- Complete assigned tasks for testing and developing new analytics, surveillance tools
- Prepare well-organized, detailed, and accurate reports
- Coach and train colleagues in techniques and responsibilities
- Participate in initiatives across Surveillance and remain current on industry trends
Requirements
- Bachelor’s degree
- Minimum of four (4) years of experience in the securities/financial services industry
- Demonstrated understanding of surveillance development lifecycle
- Working knowledge of FINRA, MSRB and other SRO rules and the Securities Exchange Act of 1934
- Experience identifying potential securities rule violations
- Ability to work on routine projects independently
Benefits
- Comprehensive health, dental and vision insurance
- Basic life and accidental death insurance
- Short
- and long-term disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance and wellness programs
- 15 days of paid time off, 5 personal days and 9 sick days
- Two volunteer service days