Specialist principal

NATIONAL FINANCIAL MARKET COMMISSION

announces a competition to fill the vacant position

from the Legal Department, Unauthorized Activity Monitoring Service.

The primary responsibility of the position is to investigate individuals who conduct financial services activities without the necessary license or authorization. In particular, the assigned tasks relate to:

- investigating suspicious and/or fraudulent activities or schemes;

- conducting investigations on various online platforms and public channels (websites, social networks, forums, mobile applications, etc.);

- preparing reports and analyses on unauthorized activities discovered on the market, which include detailed information about the entities involved, operating methods and necessary measures to be taken.

- preparing alerts for investors and warnings for the public;

- communication with stakeholders (internal and external);

- data collection, analysis and processing;

- recommending corrective actions and sanctions according to the regulations in force;

- collaborating with other authorities to exchange information and combat unauthorized financial activities;

- designing and implementing preventive measures to reduce the risk of unauthorized financial activities on the market;

- reviewing and updating internal monitoring procedures according to market developments and new regulations or financial trends;

- expertise of draft decisions submitted by the structural subdivisions of the NCFM;

conducting administrative procedures;

- assistance in administrative procedures carried out in the capital market field;

other assigned duties and tasks, as appropriate.

• holder of a Bachelor's and Master's degree in the fields of: law, finance, economics or information technology;

• knowledge in the field of capital markets, financial regulation, compliance, financial investigations or data analysis – is an advantage.

• minimum 3 years of professional experience in one of the following areas: financial supervision and control; compliance and regulation; economic-financial or legal investigations; risk analysis, audit or financial inspection; activity within a public authority, financial institutions, investment companies or financial consulting firms;

• Experience in monitoring online activities or in the fintech/cryptocurrency field is a significant advantage.

• knowledge of the regulatory framework regarding: capital market, investment services, issuers and financial instruments, protection of the rights of financial services consumers, prevention and combating money laundering and terrorist financing;

• knowledge of the functioning of modern financial markets (including digital ones).

• familiarity with public information sources, databases and OSINT (Open Source Intelligence) tools to identify suspicious activities;

• User-level computer knowledge and advanced knowledge of MS Office applications: Word, Excel, PowerPoint, Outlook.

• fluent knowledge of Romanian and English at least at an intermediate level (for analyzing international documentation and monitoring external sources);

• Knowledge of other internationally spoken foreign languages is an advantage.

  • integrity, professionalism, perseverance, consistency in thinking, responsibility;

  • punctuality, individual organizational/planning capacity, ability to meet deadlines;

  • analytical spirit and critical thinking, including in the part related to identifying regulatory deficiencies in the practical application of normative acts;

  • ability to synthesize and write complex reports;

  • capacity for self-improvement – self-taught;

  • the ability to communicate orally and in writing, to clearly and concisely present findings, conclusions and recommendations;

  • increased attention to detail and keen sense of observation;

  • the ability to adapt to changes and priorities quickly, to manage multiple activities simultaneously with a focus on completing them on time;

  • positive, constructive attitude, spirit of initiative and creativity, ability to work in a team and transfer knowledge, orientation towards results;
    ability to handle sensitive/confidential information;

  • availability for continuous professional training;

  • availability for business travel (if applicable).

1. Law no. 192/1998 on the National Financial Market Commission;

2. Law No. 171/2012 on the capital market;

3. Law No. 198/2020 on voluntary pension funds;

4. Law No. 2/2020 on alternative collective investment undertakings;

5. Law No. 181/2023 on crowdfunding services;

6. Law No. 114/2012 on payment services and electronic money;

7. Administrative Code No. 116/2018

We recommend that you consult the following bibliography before being invited to the competition :

1. Contravention Code 218/2008;

2. Criminal Code

3. Law No. 1134/1997 on joint-stock companies;

4. Law No. 202/2013 on consumer credit agreements;

5. Law No. 105/2003 on consumer protection;

6. Law No. 234/2016 on the Central Single Securities Depository;

It is discussed at the interview.

Full time.