Regulatory Coordinator - Member Regulation, Sales Practice - Jericho, NY
Do you have an eye for identifying risks? Are your investigate skills off the charts? If you answered yes to these two questions, then read on about our exciting opportunity. Help us achieve our important mission of investor protection and market integrity!
Dedication. Diversity. Integrity. At FINRA, we believe in our smart, passionate employees. And we believe in protecting America's 90 million investors and the integrity of the markets.
In order to achieve our mission every day, we're committed to recruiting and retaining a diverse, high-performance workplace. We do this not only by offering a competitive total compensation package, but also by fostering an inclusive work environment. This helps each employee reach his or her full potential, which helps ensure FINRA's success.
Our professional backgrounds range from law, finance and technology, to accounting, administration and communications-and together, we're all singularly dedicated FINRA's mission of investor protection and market integrity.
Regulatory Coordinators monitor and evaluate the financial, operational and sales practice conditions of member firms through continuous communication with member firm management and the review and analysis of financial reports, regulatory filings and other relevant data. The assistant regulatory coordinator should have basic knowledge of securities products and industry activities, as well as securities rules and regulations. A general understanding of the surveillance risk hierarchy is essential to fulfilling the responsibilities of this position. The assistant regulatory coordinator should possess strong critical thinking and analytical skills. This is a professional position sharing knowledge, developing and refining skills, and working under close supervision and guidance.
Position may be filled at various levels depending on experience and job skills of a successful candidate.
We'll trust you to:
- Monitor and evaluate the financial, operational and sales practice conditions of assigned member firms to ensure compliance with FINRA and SEA rules and regulations through the review and analysis of financial reports and other relevant data, as well as the performance of specific surveillance functions pursuant to Divisional guidelines.
- Conduct continuous real-time risk identification of assigned member firms. Gain a basic understanding of all risks in FINRA's risk hierarchy and how they apply to assigned member firms working under direct guidance and supervision.
- Identify member firms' potential financial or operational difficulties, as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.
- Provide FINRA management with current information about assigned firms, Identify issues, recommend resolutions, and assist them with resolving problem situations.
- Act as a liaison with internal clients and assigned firms; provide guidance of FINRA, SEC and other rules to assist member organizations in conducting business within regulatory guidelines; and participate in meetings with firms while under direct supervision and guidance.
- Prepare risk based examination planning packages of assigned member firms and conduct planning meetings with the examination staff under direct supervision and guidance.
- Collaborate with examination staff, managers, other departments, and regulatory agencies to analyze, communicate and make recommendations with respect to regulatory intelligence.
- Work to ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
- Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
- Participate on committees and special projects.
- A world-class compensation, benefits and service package, including incentive compensation.
- Work-life balance and access to professional development training and programs.
- The opportunity to grow your career and reach your full potential.
- To work with a group of high-performing, diverse and dedicated professionals.
- The opportunity to make a difference by protecting investors and maintaining market integrity through your work.
- Bachelor's Degree in Accounting, Finance, Economics or related field preferred with a minimum of 6 credits in Accounting; equivalent experience in a directly related securities industry position may be substituted for Bachelor's degree.
- Basic knowledge of financial and operational risks; and securities industry rules, regulations, guidelines and industry best practices.
- Basic knowledge of securities products, activities of member firms and the securities industry.
- One to three years of securities, compliance or financial regulatory experience.
- Proficient critical thinking and analytical skills; capable of analyzing data and identifying risk.
- Excellent oral and written communication skills.
- Strong time management skills.
- Work is normally performed in an office environment at FINRA, member firm premises or at various locations.
- Extended hours are frequently required.
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.
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.
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.
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