Key skills
Analytics
About this role
Role Overview
- 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
- 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
- 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