Principal Examiner - Member Regulation, IT ROOR - New York, NY

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

Job Summary:

Conducts on-site examinations and advises surveillance staff on how to assess the effectiveness of member organization's technology systems and internal controls designed to support their business activities, financial reporting and operational condition and to ensure compliance with SEC and FINRA rules and regulations.

Essential Job Functions:

  • Critically analyze, examine, and evaluate the internal controls and risks of technology processes and systems used by member firms' to determine quality and reliability of their technology infrastructure that supports the trading, financial and operational compliance of complex carrying and clearing member organizations.
  • Examines applications requiring the testing of data quality and integrity in member organizations' technology infrastructure that supports trading, financial reporting, operations, books and records, risk management, and compliance.
  • Participate on business process (integrated) examinations by evaluating the application controls and systems that support the business process or control function under review.
  • Interacts with firm personnel in areas such as operations, trading, compliance, risk management and regulatory reporting and other key business, control and technology areas that support our examination program.
  • Analyzes internal controls in key areas of risk and evaluates systems used by member firms to determine quality and reliability.
  • Performs tests for compliance of internal control policies and procedures within business process and information technology environments resulting from major organizational changes, implementation of new technologies, new products, or reliance on third party service providers.
  • Communicate examination findings and related issues both verbally and in written correspondence to senior management of FINRA, member organizations' and other regulatory agencies.
  • Prepares final written examination reports and conducts exit interviews to provide member firms with information on regulatory concerns noted during exams to take corrective action.
  • Supervises and provides guidance, training and technical support to examiners; evaluate examination team and act as liaison with Examination Directors and office staff.
  • Reviews examination work papers and report to determine the quality and accuracy of examination findings. Manages multiple assignments where appropriate to assist the division in meeting its goals.
  • Works in a team environment, with opportunities to supervise others and interact with senior member firm and FINRA personnel

Other Responsibilities:

  • Participates in the development and presentation of educational training programs on regulatory matters.
  • Makes recommendations to Unit management for enhancements to examination scopes.
  • Represents the Unit/Division on internal committees and special projects.
  • Remain abreast of new or emerging information technologies, products and best practices.


Education/Experience Requirements:

  • Bachelor degree in MIS, Information Technology, Accounting, Finance, or related field. Professional Certifications such as CIA, Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP) highly desirable.
  • Minimum of seven years or related experience within IT audit or internal audit in the securities industry or financial or regulatory experience, including prior examination and/or auditing experience.
  • Knowledge of internal controls provisions and methodologies such as IT General and Application Controls, COBIT, and COSO.
  • Knowledge of SEC and FINRA rules and regulations, and generally accepted accounting principles a plus.
  • Knowledge of auditing techniques and methodologies such as SAS 70 and SOX controls.
  • Demonstrated experience with internal controls, risk assessments, business process and internal IT control testing or operational auditing.
  • Ability to evaluate new products and systems.
  • Excellent interpersonal, organizational, written and verbal communication skills and computer proficiency in Microsoft Office suite applications is essential. (e.g., MS Word, Excel).
  • Ability to independently evaluate the financial, operational, and supervisory systems and internal controls of major member firms.
  • Ability to supervise, train and evaluate staff.

Work Conditions:

  • Work is performed in an office environment, with extended hours. Applicants must be able to travel a minimum of 12 weeks annually.
  • Must be able to handle highly confidential information in a strictly professional manner.
  • Challenging work environment, continuous learning, and constantly changing landscape.
  • Exposure to numerous areas of a broker-dealer's business.

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 "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter 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.

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 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.

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.


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 .

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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