CONTD FROM F.6A Benchmark Database Finance, Accounting, and Legal Survey Report 2021 812021br br CONTD FROM H.10B managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.br br Education and Experiencebr br Bachelors degree or foreign education equivalent in Computer Science, Business Administration, Marketing, Engineering, Information Technology, Information Systems, Mathematics, or a closely related field and five 5 years of experience in the job offered or five 5 years of experience managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.br br Or, alternatively, Masters degree or foreign education equivalent in Computer Science, Business Administration, Marketing, Engineering, Information Technology, Information Systems, Mathematics, or a closely related field and three 3 years of experience in the job offered or three 3 years of experience managing large risk and compliance functionalities and supporting FINRA, SEC, and state securities registrations.br br Skills and Knowledgebr br Candidate must also possessbr br Demonstrated Expertise DE identifying, verifying, and documenting requirements business, functional, and technical, including SEC and FINRA to support the development of complex application workflows and business processes for enterprise ethics and compliance registration and licensing applications.br br DE developing policies and procedures for covered securities, employee trade monitoring programs, and systems for compliance with SEC regulations 17j1, 38A1, and 204A.br br DE developing policies, procedures, reports, and workflows for FINRA registrations within FINRA Rules 1210, 1220,1230, and 4530.br br DE designing and implementing test and validation protocols for employee trade monitoring and registration and licensing systems and compliance reporting within a global investment products and services environment.
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