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The Financial Industry Regulatory Authority (FINRA) isseeking a well-qualified individual for our Principal Examiner openingin New York, NY. To be consideredfor this position, please submit your resume through our career site at www.finra.org/careers no phone calls, please.
Conducts on-site examinations and advisessurveillance staff on how to assess the effectiveness of member organization'stechnology systems and internal controls designed to support their businessactivities, financial reporting and operational condition and to ensurecompliance with SEC and FINRA rules and regulations.
Critically analyze, examine, and evaluate theinternal controls and risks of technology processes and systems used by memberfirms' to determine quality and reliability of their technology infrastructurethat supports the trading, financial and operational compliance of complexcarrying and clearing member organizations.
Examines applications requiring the testing of data quality and integrity inmember organizations' technology infrastructure that supports trading,financial reporting, operations, books and records, risk management, andcompliance.
Participate on business process (integrated) examinations by evaluating theapplication controls and systems that support the business process or controlfunction under review.
Interacts with firm personnel in areas such as operations, trading, compliance,risk management and regulatory reporting and other key business, control andtechnology areas that support our examination program.
Analyzes internal controls in key areas of risk and evaluates systems used bymember firms to determine quality and reliability.
Performs tests for compliance of internal control policies and procedureswithin business process and information technology environments resulting frommajor 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 writtencorrespondence to senior management of FINRA, member organizations' and otherregulatory agencies.
Prepares final written examination reports and conducts exit interviews toprovide member firms with information on regulatory concerns noted during examsto take corrective action.
Supervises and provides guidance, training and technical support to examiners;evaluate examination team and act as liaison with Examination Directors andoffice staff.
Reviews examination work papers and report to determine the quality andaccuracy of examination findings. Manages multiple assignments whereappropriate to assist the division in meeting its goals.
Works in a team environment, with opportunities to supervise others andinteract with senior member firm and FINRA personnel
Participates in the development andpresentation of educational training programs on regulatory matters.
Makes recommendations to Unit management for enhancements to examinationscopes.
Represents the Unit/Division on internal committees and special projects.
Remain abreast of new or emerging information technologies, products and bestpractices.
Bachelor degree in MIS, InformationTechnology, Accounting, Finance, or related field. Professional Certificationssuch as CIA, Certified Information Systems Auditor (CISA), CertifiedInformation Systems Security Professional (CISSP) highly desirable.
Minimum of seven years or related experience within IT audit or internal auditin the securities industry or financial or regulatory experience, includingprior examination and/or auditing experience.
Knowledge of internal controls provisions and methodologies such as IT Generaland Application Controls, COBIT, and COSO.
Knowledge of SEC and FINRA rules and regulations, and generally acceptedaccounting principles a plus.
Knowledge of auditing techniques and methodologies such as SAS 70 and SOXcontrols.
Demonstrated experience with internal controls, risk assessments, businessprocess and internal IT control testing or operational auditing.
Ability to evaluate new products and systems.
Excellent interpersonal, organizational, written and verbal communicationskills and computer proficiency in Microsoft Office suite applications isessential. (e.g., MS Word, Excel).
Ability to independently evaluate the financial, operational, and supervisorysystems and internal controls of major member firms.
Ability to supervise, train and evaluate staff.
Work is performed in an office environment, withextended hours. Applicants must be able to travel a minimum of 12 weeksannually.
Must be able to handle highly confidential information in a strictlyprofessional 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 coverletter and resume. A writing sample may be required as part of the submission.
The information provided above has been designed toindicate the general nature and level of work of the position. It is not acomprehensive inventory of all duties, responsibilities and qualificationsrequired.
Please note: If the"Apply Now" button on a job board posting does not take you directly to theFINRA Careers site, enter www.finra.org/careersinto your browser to reach our site directly.
FINRA strives to makeour career site accessible to all users. If you need a disability-relatedaccommodation for completing the application process, please contact FINRA'saccommodation help line at 240.386.4865. Please note that this number isexclusively for inquiries regarding application accommodations.
In addition to acompetitive salary, comprehensive health and welfare benefits, and incentivecompensation, FINRA offers immediate participation and vesting in a 401(k) planwith company match. You will also be eligible for participation in anadditional FINRA-funded retirement contribution, our tuition reimbursementprogram and many other benefits. If you would like to contribute to ourimportant mission and work collegially in a professional organization thatvalues intelligence, integrity and initiative, consider a career with FINRA.
FINRA's Code of Conductimposes restrictions on employees' investments and requires financialdisclosures that are uniquely related to our role as a securities regulator.FINRA employees are required to disclose to FINRA all brokerage accounts thatthey maintain, and those in which they control trading or have a financialinterest (including any trust account of which they are a trustee orbeneficiary and all accounts of a spouse, domestic partner or minor child wholives with the employee) and to authorize their broker-dealers to provide FINRAwith duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities accountrestrictions, and new employees must comply with thoseinvestment restrictionsincluding disposing of any security issued by a companyon FINRA's Prohibited Company List or obtaining a written waiver from their
Executive Vice Presidentby the date they begin employment with FINRA.Employees may only maintain securities accounts that must be disclosed to FINRAat one or more securities firms that provide an electronic feed (e-feed) ofdata to FINRA, and must move securities accounts from other securities firms toa firm that provides an e-feed within three months of beginning employment.
As standard practice,employees must also execute FINRA's Employee Confidentiality and InventionAssignment Agreement without qualification or modification and comply with thecompany's policy on nepotism.
FINRA is anindependent, non-governmental regulator for all securities firms doing businesswith the public in the United States. FINRA works to protect investors andmaintain market integrity in a public-private partnership with the Securitiesand Exchange Commission (SEC), while also benefiting from the SEC's oversight.In its role as investor guardian, FINRA is informed, but not influenced, by theindustry that it regulates. FINRA's independent regulation plays a criticalrole in America's financial systemall at no cost to taxpayers.
FINRA touches virtuallyevery aspect of the securities businessfrom registering and educating industryparticipants to examining securities firms; writing rules; enforcing thoserules and the federal securities laws; informing and educating the investingpublic; providing trade reporting and other industry utilities; andadministering the largest dispute resolution forum for investors and registeredfirms. FINRA uses technology powerful enough to look across markets and detectpotential abuses. Using a variety of data gathering techniques, we work todetect insider trading and any strategies firms or individuals use to gain anunfair advantage.
In today's fast-pacedand complex global economy, FINRA is a trusted advocate for investors,dedicated to keeping the markets fair and proactively addressing emergingregulatory issues before they harm investors or the markets. FINRA operatesfrom Washington, DC, and New York, NY, with other offices around the country.
Find out more about usand how we workand view our current openingsat www.finra.org/careers.
Search Firm Representatives
Please be advised thatFINRA is not seeking assistance or accepting unsolicited resumes from searchfirms for this employment opportunity. Regardless of past practice, a validwritten agreement and task order must be in place before any resumes aresubmitted to FINRA. All resumes submitted by search firms to any employee atFINRA without a valid written agreement and task order in place will be deemedthe sole property of FINRA and no fee will be paid in the event that person ishired by FINRA.
FINRA is an EqualOpportunity and Affirmative Action Employer
All qualifiedapplicants 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 otherclassification protected by federal state or local laws as appropriate, or uponthe protected status of the person's relatives, friends or associates.
FINRA abides by therequirements of 41 CFR 60-741.5(a).This regulation prohibits discrimination against qualified individuals on thebasis of disability, and requires affirmative action by covered prime contractorsand subcontractors to employ and advance in employment qualified individualswith disabilities.
FINRA abides by therequirements of 41 CFR 60-300.5(a).This regulation prohibits discrimination against qualified protected veterans,and requires affirmative action by covered prime contractors and subcontractorsto employ and advance in employment qualified protected veterans.
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Financial Industry Regulatory Authority, Inc.