Compliance Associate - Surveillance & Investigations

The Compliance Associate - Surveillance & Investigations at Public is primarily responsible for performing trade surveillance and transaction monitoring to review trading activities for suspicious patterns. They also conduct investigations on flagged transactions, manage information-sharing requests, and support the filing of Suspicious Activity Reports (SAR). They play a crucial part in enhancing surveillance processes and collaborating with various teams to ensure compliance with regulatory requirements.

To qualify for the Compliance Associate - Surveillance & Investigations role at Public, candidates must possess FINRA SIE, Series 7, and 63 licenses, with Series 24 licensure preferred. A solid understanding of AML, FINRA, and SEC regulations is essential, along with strong analytical skills. Candidates should also be comfortable working with data, particularly with tools like SQL and Looker, and have excellent problem-solving and communication skills.

The Compliance Associate - Surveillance & Investigations contributes to regulatory compliance at Public by performing necessary monitoring, identifying compliance risks, and ensuring the firm's adherence to regulations such as FINRA, SEC, and AML. They help mitigate risks through detailed investigations, monitoring reporting requirements, and enhancing surveillance processes to maintain integrity within the compliance program.

At Public, a Compliance Associate - Surveillance & Investigations typically utilizes data tools such as Looker and SQL to analyze large datasets. This helps in providing clear insights for regulatory inquiries, supporting SAR filings, and improving the quality and accessibility of compliance-related data.

Public stands out as a unique workplace for a Compliance Associate - Surveillance & Investigations due to its dynamic and innovative environment. The role encourages proactive engagement with compliance issues while collaborating with diverse teams. Additionally, the company's commitment to growth, inclusivity, and maintaining a strong compliance posture makes it an exciting place to further your career in compliance.

When answering this question, it's essential to highlight specific experiences you've had with trade surveillance, including the types of trades you've monitored and any tools you've used. Discuss your familiarity with regulatory reporting and how you've ensured compliance in previous roles.

A good approach to respond would be to explain your systematic method for monitoring activities, such as looking for unusual patterns or anomalies that may suggest manipulation or insider trading. Mention how you have documented findings in the past.

In your response, describe how you've previously prepared SARs, detailing the analysis and investigation process that led to their creation. It's important to illustrate your understanding of the significance of proper filing and compliance with AML regulations.

Share a specific scenario where you encountered a compliance issue, detailing the steps you took to investigate, escalate, and resolve the matter. Be sure to illustrate the importance of teamwork in effectively addressing the issue.

Discuss your experience with data analysis tools like SQL and Looker. You could explain how these tools have helped you identify trends, support risk mitigation strategies, and streamline compliance processes.

To respond, mention the resources you use to stay informed, such as industry publications, webinars, and networking within compliance communities. Highlight your proactive approach to integrating this knowledge into your work.

Explain the importance of collaboration in compliance work and provide examples of how you've worked with other teams to resolve issues, implement improvements, or share best practices, emphasizing your communication and interpersonal skills.

Answering this question, define emotional intelligence (EQ) in a compliance context as being able to navigate sensitive discussions, empathizing with stakeholders, and fostering collaborative relationships, which is crucial for effective compliance and risk management.

Here, describe your organizational strategies, such as prioritizing tasks, using project management tools, and setting realistic deadlines. Providing a brief example of a time you successfully managed competing priorities will add value to your response.

In your answer, communicate your passion for maintaining integrity in financial operations and how you find satisfaction in identifying risks and implementing solutions to improve compliance processes. Sharing personal anecdotes of what draws you to this field can make your response more engaging.