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Carrot Peelers, Sales, Personality and Your Job Search
Public Interest
Attorney
Corporate - Securities and Capital Markets
Max 1 yrs required
Analyst - Market Regulation Duties: Conducts investigations based on referrals received from client(s) and other internal and external sources, under the direct supervision of management. Compiles and organizes information from a variety of sources to be used in the development of investigations of potentially violative activity under the direct supervision of management. Through the review/investigative process the Analyst will resolve situations that may impact market integrity. Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations. Conducts rule analysis and suggests changes when necessary, under the direct supervision of management. Prepares outlines and conducts depositions of witnesses under the direct supervision of management. Presents presenting investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
Qualification and Experience
Requirements: Bachelor’s degree in Finance, Business or Economics or directly substitutable Industry experience; industry experience in options or derivatives; futures experience helpful with up to 1 year experience. Legal background and advanced degree in law or business helpful. Strong verbal and written communications skills. Demonstrated ability to conduct telephone interviews and elicit pertinent information from issuers, members and others. Demonstrated ability to initiate and complete quality routine reviews/ investigations in a timely fashion. Demonstrated ability to effectively interface with management, peers and others to accomplish Market Regulation mission and goals. Working knowledge of relevant options, FINRA, and SEC rules and regulations and ability to conduct telephone interviews. Working knowledge of securities markets including equity and options background, member firm operations, books and records.
Job Number: 006840. Send a cover letter and resume with writing sample, No phone calls.
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