Regulatory Coordinator - Member Supervision, ROOR - New York, NY
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The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Regulatory Coordinator 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.
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 Regulatory Coordinator should have a strong working knowledge of securities products and industry activities, as well as securities rules and regulations. They are competent assessing how the risks in FINRA’s risk hierarchy apply to assigned member firms. The Regulatory Coordinator should possess sound critical thinking and analytical skills. This is a professional position working independently, sharing knowledge, developing and refining skills, under minimal supervision.
Position may be filled at various levels depending on experience and job skills of a successful candidate.
Essential Job Functions:
- Monitor and evaluate the financial, operational and sales practice conditions of assigned member firms to ensure compliance with FINRA and SEC 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.
- 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 firm information. Identify and recommend resolutions to 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; run meetings with firms while under supervision and guidance.
- Prepare risk based examination planning packages of assigned member firms and conduct planning meetings with the examination staff under minimal 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.
- Participate in developing training content; advise the Business Solutions Training Group on the technical accuracy of classroom materials.
- Present surveillance related matters at internal meetings and conferences.
- Assist in providing classroom training on technical matters for the Division’s staff, or other FINRA training programs; train less experienced regulatory coordinators.
- Proactively identify ideas for in-house training.
- Serve as a mentor and coach to less experienced staff.
- Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
- Participate on committees and special projects.
- Bachelor’s Degree in Accounting, Finance, Economics or related field preferred with a minimum of 6 credits in Accounting
- Minimum of five years of securities, compliance or financial regulatory experience; Master’s Degree in accounting or finance can be considered towards experience
- In-depth knowledge of financial and operational risks; and securities industry rules, regulations, guidelines and industry best practices
- In-depth knowledge of securities products, activities of member firms and the securities industry
- Directly related experience in a regulatory, compliance or investigative role in securities is highly preferred.
- Excellent interpersonal, written and verbal communication skills and computer proficiency are essential.
- Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills.
- Strong time management skills
- Work is normally performed in an office environment, with extended hours, when necessary. Some travel 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.
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.
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.
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 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.
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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