Associate Principal Examiner, T&E Exams - Any Finra Location

Financial Industry Regulatory Authority, Inc. Los Angeles , CA 90009

Posted 4 weeks ago

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.) 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

Education/Experience Requirements:

  • 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

Knowledge Requirements:

  • 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

Skill Requirements:

  • 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.

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.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.

You can read more about these restrictions here.

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.

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.

2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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Associate Principal Examiner, T&E Exams - Any Finra Location

Financial Industry Regulatory Authority, Inc.