Associate Principal Examiner, T&E FinOps
- New York, NY
To conduct risk-based examinations of FINRA member firms and registered representatives.
Essential Job Functions:
- Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision.
- Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity.
- Serves as mentor to junior staff.
- Interviews firm personnel independently.
- Gathers regulatory intelligence using internal FINRA systems.
- Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.)Â and systems (order management systems, supervisory alert systems, etc.).
- Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
- Identifies exceptions, observations, and other findings.
- Bachelor's Degree or an equivalent combination of education and experience required.
- Major in Accounting, Finance, Economics, Business Administration or related fields preferred.
- Advanced degree/certification a plus.
- Moderate securities, compliance or financial regulatory experience.
- Intermediate knowledge of FINRA's risk fundamentals.
- Intermediate knowledge of securities rules and regulations.
- Intermediate knowledge of firm business models, business lines, customer bases, products and services.
- Intermediate knowledge of major review areas and the associated rule requirements.
- Awareness and understanding of internal policies and protocols.
- Ability to effectively articulate matters with moderate degree of complexity through verbal and written communications.
- Intermediate critical thinking, research and analytical skills.
- Proficient in utilizing available internal resources.
- Ability to manage time effectively and complete assignments within budgeted time-frames.
- Ability to identify and prioritize risk.
- Ability to work independently with moderate supervision.
- Ability to recognize and understand the relationship and impact between different regulatory areas.
To be considered for this position, please submit an application.
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.
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.
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