Examinations - Business Conduct - Member Supervision
Examinations - Business Conduct - Member Supervision
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Job Description
Missiondriven Missiondelivered. FINRA aims to make an impact. Apply now for an exciting opportunity to join our Firm Examinations Team focusing on Business Conduct risks. Grow your career by leveraging your financial industry or legal experience to conduct riskbased examinations of FINRA Member firms.
Our Examinations Program is a critical component of FINRAs regulatory operations and one of the primary means by which we oversee the activities of our member firms. We take a riskbased approach to our oversight with the goal of detecting deterring or addressing activities that may cause investor harm or adversely impact the integrity of our markets.
Depending on the type of firm and our assessment of the risk we generally examine firms on a one two or fouryear frequency; at a minimum every firm is examined at least once every four years. We examine firms for compliance with FINRA rules federal securities laws and regulations and when applicable exchanges rules. Areas of review can include Supervision Regulation Best Interest Trade Reporting AntiMoney Laundering Communications with the Public Net Capital etc.
We classify each member firm by primary business model into one of four Firm Groups:
Retail;
Diversified Carrying and Clearing;
Capital Markets; and
Trading and .
Each of these Firm Groups has dedicated FINRA staff with knowledge in regulating risks specific to those business models. Your application will be considered for a position within one of our four Firm Groups.
Utilizing your analytical skills you can be on the front lines of FINRAs Mission to protect investors and the integrity of the markets. We have various levels of Examination Positions open. See below and apply to be considered.
Examiner (Grade 44
Essential Job Functions:
- Leads examinations of low risk and complexity with direct supervision
- Conducts and memorializes discovery and risk reviews of low risk and complexity
- 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.
- Identifies exceptions observations and other findings
- Completes key trainings
- Participates in meetings with firms
- Ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner
Senior Examiner (Grade 45
Essential Job Functions:
- Leads examinations of low and mediumlow risk and complexity with moderate supervision
- Conducts and memorializes discovery and risk reviews of low to medium low and mediumlow risk and complexity
- Completes key trainings and learns to complete work independently
- Interviews firm personnel with moderate supervision
- 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 FINRAs mission in an efficient and effective manner.
- Identifies exceptions observations and other findings
Associate Principal Examiner (Grade 46
Essential Job Functions:
- Leads examinations of low mediumlow and mediumhigh risk and complexity with moderate supervision
- Conducts and memorializes discovery and risk reviews of low to mediumhigh 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.
- Identifies exceptions observations and other findings
- Completes key trainings
- Participates in meetings with firms
- Ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner
Principal Examiner (Grade 47
Essential Job Functions:
- Leads examinations of low mediumlow and mediumhigh risk and complexity with moderate supervision
- Conducts and memorializes discovery and risk reviews of low to mediumhigh 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.
- Identifies exceptions observations and other findings.
- Completes key trainings
- Participates in meetings with firms
- Ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Examiner (Grade 44
Education/Experience Requirements:
- Bachelors 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
- Minimal securities compliance or financial regulatory experience
Knowledge Requirements:
- Basic knowledge of FINRAs risk fundamentals
- Basic knowledge of securities rules and regulations
- Basic knowledge of firm business models business lines customer bases products and services
- Basic 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 low degree of complexity through verbal and written communications
Senior Examiner (Grade 45
Education/Experience Requirements:
- Bachelors 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:
- Basictointermediate or Functional knowledge of FINRAs risk fundamentals
- Basictointermediate or Functional knowledge of securities rules and regulations
- Basictointermediate or Functional knowledge of firm business models business lines customer bases products and services
- Basictointermediate or Functional 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 low to moderate degree of complexity through verbal and written communications
- Basictointermediate critical thinking research and analytical skills
Proficient in utilizing available internal resources
- Ability to manage time effectively and complete assignments within budgeted timeframes
- Ability to identify and prioritize risk
- Ability to manage time effectively and complete assignments within budgeted timeframes while learning to work independently
- Beginning to recognize and understand the relationship and impact between different regulatory areas
Associate Principal Examiner (Grade 46
Education/Experience Requirements:
- Bachelors 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
- Experience is preferred but not required regarding merger & acquisition activity private placement activity product originator and wholesaling activity or public finance activity
Knowledge Requirements:
- Intermediate knowledge of FINRAs 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
Principal Examiner (Grade 47
Education/Experience Requirements:
- Bachelors 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
- Advanced securities compliance or financial regulatory experience
- Advanced knowledge is preferred but not required regarding merger & acquisition activity private placement activity product originator and wholesaling activity or public finance activity.
Knowledge Requirements:
- Advanced knowledge of FINRAs risk fundamentals
- Advanced knowledge of securities rules and regulations
- Advanced knowledge of firm business models business lines customer bases products and services
- Advanced knowledge of all major regulatory areas and the associated rule requirements
- Awareness and understanding of internal policies and protocols
Skill Requirements:
- Ability to effectively articulate matters with high degree of complexity through verbal and written communications
- Advanced critical thinking research and analytical skills
- Proficient in utilizing available internal resources
- Ability to manage time effectively and complete assignments within budgeted timeframes
- Ability to identify and prioritize risk
Working Conditions:
- Hybrid office environment.
- Periodic overnight travel as needed.
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Grade 44
For work that is performed in CA Washington DC CO HI New York NY and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
California: Minimum of $63600 Maximum of $122300
Washington DC: Minimum of $66100 Maximum of $117100
Colorado/Hawaii: Minimum of $57500 Maximum of $101900
New York NY: Minimum of $69000 Maximum of $122300
Washington St: Minimum of $57500 Maximum of $117100
Grade 45
For work that is performed in CA Washington DC CO HI New York NY and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
California: Minimum of $73000 Maximum of $141900
Washington DC: Minimum of $76200 Maximum of $136000
Colorado/Hawaii: Minimum of $66200 Maximum of $118200
New York NY: Minimum of $79400 Maximum of $141900
Washington St: Minimum of $66200 Maximum of $136000
Grade 46
For work that is performed in CA Washington DC CO HI New York NY and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
California: Minimum of $84500 Maximum of $165100
Washington DC: Minimum of $88400 Maximum of $158200
Colorado/Hawaii: Minimum of $76800 Maximum of $137500
New York NY: Minimum of $92200 Maximum of $165100
Washington St: Minimum of $76800 Maximum of $158200
Grade 47
For work that is performed in CA Washington DC CO HI New York NY and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
California: Minimum Salary $98400 Maximum Salary $193400
Washington DC: Minimum of $102800 Maximum of $185300
Colorado/Hawaii: Minimum Salary $89400 Maximum Salary $161200
New York NY: Minimum Salary $107200 Maximum Salary $193400
Washington: Minimum Salary $89400 Maximum Salary $185300
*Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the midpoint of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
To be considered for this position please submit an application. Applications are accepted on an ongoing basis.
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 into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Nonexempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness FINRA provides comprehensive health dental and vision insurance. Additional insurance includes basic life accidental death and dismemberment supplemental life spouse/domestic partner and dependent life and spouse/domestic partner and dependent accidental death and dismemberment short and longterm disability longterm care business travel accident disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRAfunded retirement contribution tuition reimbursement commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways including through a generous timeoff program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all prorated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on fulltime schedule). Other paid leave includes military leave jury duty leave bereavement leave voting and election official leave for federal state or local primary and general elections care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Fulltime employees receive nine paid holidays.
*Based on fulltime schedule
Important Information
FINRAs 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 brokerdealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs 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 (efeed) of data to FINRA and must move securities accounts from other securities firms to a firm that provides an efeed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.
FINRA abides by the requirements of 41 CFR 60741.5(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 60300.5(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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Employment Type
Full-Time
