Associate Principal Examiner, T&E Equities/Options

    • New York, NY

The Associate Principal Examiner conducts routine review and investigations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under available supervision.

Essential Job Functions:

  • Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
  • Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws.
  • Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
  • Through the review/investigative process the Examiner resolves situations that may impact the integrity of Nasdaq or other markets.
  • Demonstrates a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations; performs preventive compliance functions.
  • Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
  • Utilizes computer resources and software applications for high-level data analysis pursuant to investigation/review procedures.
  • Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.


Education/Experience Requirements:
  • Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
  • A minimum of five years of directly related experience.
  • Substantial knowledge of relevant FINRA/SEC rules and regulations.
  • Substantial knowledge of securities markets, member firm operations, books and records.
  • Ability to conduct telephone interviews.
  • Ability to initiate and complete quality reviews.
  • Competence using a desktop computer with the full suite of office software applications.


Work Conditions:
  • Ability to work under pressure.
  • Attention to detail is essential.
  • Strong verbal and written communication skills and technical capabilities are essential to position.
  • Some travel may be required.


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.

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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.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ 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 Code’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 FINRA’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 FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’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 person’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.

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