Senior Regulatory Coordinator - Member Regulation, Sales Practice - Kansas City, MO

Financial Industry Regulatory Authority, Inc. Kansas City , MO 64126

Posted 3 weeks ago

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Regulatory Coordinator opening in Kansas City, MO. To be considered for this position, please submit your resume through our career site at www.finra.org/careers no phone calls, please.

Job Summary:

Senior 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, with minimal supervision. This position requires frequent contact and interaction with management of assigned member firms. Senior Regulatory Coordinators have demonstrated competence and expertise with respect to the assessment of risks in our risk hierarchy and how each applies to assigned member firms. This is a senior-level professional position leading teams, mentoring, sharing knowledge and best practices, and working under minimal supervision.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions:

  • Conduct continuous real-time risk identification of assigned member firms. Show proficiency in prioritizing risk through an understanding of firm business activities, the risks associated with those business activities and the controls in place to mitigate those risks, with minimal guidance and supervision.

  • Ongoing surveillance of assigned firms against material appropriate risks considering relevant sales practice, business conduct and financial/operational risks.

  • Maintain an understanding of each risk in our risk hierarchy and how each applies to the assigned member firms working under minimal supervision.

  • Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations.

  • Working under minimal supervision, identify member firms' potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business. Identify and recommend resolution to problem situations.

  • Review and analyze complaints, trends, registration data and other relevant data for high risk and complex firms to identify potential problematic activity and provide FINRA management with current firm information and assist in resolving problem situations.

  • Provide guidance of FINRA, SEC and other rules to assist member organizations in conducting business within regulatory guidelines.

  • Attend exam exit meetings, engage in interpretive discussions and conduct outreach meetings with member firms.

  • Manage his/her own time to ensure it is used effectively across the program.

  • Train, coach, and mentor surveillance staff members, including cross-training participants and new coordinators; advise and assist other coordinators in monitoring and analyzing assigned member firms.

  • Exhibit excellent judgment, decision making and strategic thinking skills.

  • Champion and initiate collaboration with examination staff, managers and other departments to analyze, communicate and make recommendations with respect to regulatory intelligence.

  • Take a leadership role in special projects, surveys, committee assignments and technology initiatives.

Education/Experience Requirements:

  • Bachelor's degree required. Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/ certifications a plus.

  • Competency in risk analysis and proactive risk identification.

  • Possess strong analytical skills.

  • An ability in developing appropriate regulatory responses for risks.

  • Minimum of three years plus of securities, compliance or financial regulatory experience.

  • Prior coordinator and examiner experience preferred.

  • Knowledge of rules and regulations relating to securities.

  • Ability to analyze member organizations' financial, operational and sales practices for FINRA/SEA rule compliance.

  • Excellent interpersonal, written and verbal communication skills and computer proficiency are essential.

Working Conditions:

  • Work is normally performed in an office environment at FINRA, member firm premises or at various locations.

  • Extended hours are frequently 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.

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 restrictionsincluding disposing of any security issued by a company on 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 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.

About FINRA

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 systemall at no cost to taxpayers.

FINRA touches virtually every aspect of the securities businessfrom 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 workand view our current openingsat 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.
2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.


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Senior Regulatory Coordinator - Member Regulation, Sales Practice - Kansas City, MO

Financial Industry Regulatory Authority, Inc.