Associate Principal Examiner - Capital Markets
- Los Angeles, CA
The Associate Principal Examiner has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals of the strategies. The Associate Principal Examiner provides advice to staff and definitive determinations with regard to decisions concerning his/her respective area(s) of competence. This is a senior-level professional position leading teams, mentoring, sharing knowledge and advising staff, and working under minimal supervision.
Essential Job Functions:
- Lead or participate in, and provide guidance and advice with regard to high risk examinations, special national projects, sweeps and task forces.
- The Associate Principal Examiner possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.
- This activity may be conducted either in the field or in the office.
- Proactively identify notable trends in industry practices, products and procedures.
- Ensure regulatory programs serve departmental goals and FINRAâ€™s mission in an efficient and effective manner.
- Demonstrate strong critical thinking, interviewing, research and quantitative skills.
- Possess a proficient level of knowledge of securities products, activities of member firms and the industry.
- Assist other examiners on discovery/risk reviews and examination reports.
- Actively lead and participate in meetings on firms and/or examinations with minimal supervision.
- Lead classroom instruction on technical matters for the examination staff.
- Proactively identify ideas for in-house training.
- Participate in developing course content and advising the Member Regulation.
- Training unit on technical accuracy of classroom material.
- Participate in developing or delivering training courses for all department employees.
- Serve as a mentor and coach to other staff.
- Moderate and/or present subject matter material at internal meeting and conferences including, new Examiner trainings or other FINRA training programs.
- Participate in Peer and/or Quality Reviews for the district, regional or national program.
- Bachelorâ€™s degree or an equivalent combination of education and experience required.
- Major in Accounting, Finance, Economics, Business Administration, Cybersecurity/Computer Forensics, Data Analytics or related fields preferred.Â
- Advanced degree/certifications a plus.
- Proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.
- Demonstrate proficient knowledge of risk analysis and proactive risk identification.
- Possess strong analytical skills.
- Demonstrate a track record in developing appropriate regulatory responses and/or processes for managing risks.
- Excellent oral and written communication and presentation skills.
- Possess excellent time management skills.
- Minimum of five years of securities, compliance or financial regulatory experience.
- Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
- Work is normally performed in an office environment at FINRA, member firm premises or at various locations.Â
- Overnight travel is required.Â
- Extended hours are frequently required.Â
- Work expectations include timely and high quality productivity.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the â€Apply Nowâ€ button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRAâ€™s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
FINRAâ€™s Code of Conduct imposes restrictions on employeesâ€™ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codeâ€™s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRAâ€™s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRAâ€™s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâ€™s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the personâ€™s relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
Â©2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
Back to top