Examiner - Member Regulation, ROOR - New York, NY

We Work to Protect Investors. Join our Team.



The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Examiner opening in New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.

Job Summary :

The Examiner should be proficient to highly proficient in identifying risks, developing regulatory strategies to address those risks and managing teams that execute these strategies. The Examiner provides advice to staff and makes decisions in his/her respective area(s) of competence. This is a senior-level professional position leading teams, mentoring, sharing knowledge, advising staff, and working under minimal supervision.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions :

  • Lead or participate in, and provide guidance and advice on examinations of introducing and clearing firms. Identify key risks, develop strategies to review for those risks, and manage staffs who execute such strategies and prepare examination reports.
  • Proactively identify notable trends in industry practices, products and procedures.
  • Analyze member firms' financial and operational books and records to identify areas of risk.
  • Actively lead and participate in meetings with firms during examinations under minimal supervision.
  • Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
  • Participate in developing training content; advise the Business Solutions Training Group on the technical accuracy of classroom materials.
  • Present exam related matters at internal meetings and conferences.
  • Lead classroom training on technical matters for the Division's staff, including at new examiner trainings, or other FINRA training programs.
  • Train less experienced examiners during examinations on conducting move-the-line and risk reviews and in preparing examination reports.
  • Proactively identify ideas for in-house training.
  • Serve as a mentor and coach to less experienced staff.
Other Responsibilities:
  • Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
  • Participate on committees and special projects.
Qualifications:

Education/Experience Requirements:
  • Bachelor's Degree in Accounting, Finance, or Economics with a minimum of 6 credits preferred; equivalent experience in a directly related securities industry position may be substituted for Bachelor's degree.
  • Proficient level of knowledge of financial and operational risks; and securities industry rules, regulations, guidelines and industry best practices.
  • Proficient knowledge of securities products, activities of member firms and the securities industry.
  • Minimum of five to six years of securities, compliance or financial regulatory experience.
  • Sound critical thinking, interviewing, research and quantitative skills.
  • Strong analytical skills; proficient in analyzing data and identifying risk.
  • Excellent oral and written communication and presentation skills
  • Strong time management skills.
Working Conditions:
  • Work is normally performed in an office environment at FINRA, member firm premises or at various locations.
  • Overnight travel is required.
  • Extended hours are frequently required.
  • Work expectations include timely and high quality productivity.
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 "Apply Now" 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 FINRA's accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

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 restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-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.

A s 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.

About FINRA

FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC's oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial system-all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work-and view our current openings-at www.finra.org/careers .

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.

F INRA 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.

©2018 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.


Meet Some of FINRA's Employees

Dylan

Associate Principal Examiner, Risk Oversight & Operational Regulation

In order to protect people from financial fraud, Dylan evaluates everything from market, credit, and reputational risk to the processes and procedures encompassing settlements, cash flows, expenses, and valuations.

Katherine

Associate Principal Examiner, Anti-Money Laundering

Katherine and her team review the policies and procedures used to detect and report suspicious activity at brokerage firms, working closely with firm compliance staff to ensure they remain robust.


Back to top