20 days old

Examiner - Market Regulation, TFCE - New York, NY and Chicago, IL

New York, NY 10007
  • Job Code

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for ourExamineropening inNew York, NY and Chicago, IL. To be considered for this position, please submit your resume through our career site atwww.finra.org/careers no phone calls, please.

Job Summary:

The Examiner conducts routine reviews of low to moderate complexity in search of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is junior-level professional work in which incumbents are developing in their assigned roles, enhancing newly-learned skills, and working under moderate supervision.

Position may befilled at various levelsdepending on experience and job skills of a successful candidate.

Essential Job Functions:

  • Continues enhancement of knowledge of the TFCE examinations

  • Attending and actively participate in department training

  • Attend internal and/or external seminars when required

  • Demonstrate a strong understanding of the exam process

  • Gain proficiency in generating Advanced Notification Letters (ANLs)

  • Demonstrate proficiency in all TFCE examination areas/reviews, exam procedures, and FINRA/SEC Rules; Identify, research, and analyze data independently

  • Conduct lead and/or solo examination of low to moderate complexity

  • Properly document and clearly present examination findings

  • When necessary, assist other TFCE examiners in conducting more complex examinations.

  • Effectively and efficiently manage the daily workload to ensure tasks are completed within department/ management time frames: start, complete, and revise assigned exams within the established timeframes (i.e., Exam Checklist)

  • Notify supervisor on a timely basis of any circumstanced that may cause material changes to the projected completion dates or impact the exam cycle.

  • Utilize computer resources and software applications for data analysis in the investigative/review process: effectively utilize the resources in conducting routine reviews and investigations, an dif necessary, obtain guidance from more senior staff or management

  • All related activities (time and milestone dates) must be entered accurately, completely and timely in accordance with Department policy.

  • Effectively communicate and coordinate with member firms and fellow examiners

  • Demonstrate effective verbal and written communication skills

  • Share knowledge of markets with less experienced staff; conduct effective background/trading desk interviews and exit conferences

  • Prepare and submit well-organized, detailed, and accurate examination reports

  • Periodically update your manager on exam progress

  • Take initiative and request additional assignments when workload permits

  • Work with more experienced staff to further enhance knowledge base.

Education/Experience Requirements:

  • Bachelors degree or equivalent work experience in the financial industry demonstrating research/analytical skills. Major in Finance, Accounting, Business or related field preferred.

  • At least one year of directed related securities experience required.

  • Knowledge of securities industry rules, regulations and guidelines preferred.

  • Excellent written and verbal communication skills required.

  • Competence using a desktop computer with the full suite of office software applications preferred.

Work Conditions

  • Work is normally performed in an office environment and is often conducted at a member firm.

  • Extended hours and overnight travel are required.

  • Ability to work under pressure.

  • Attention to detail is essential.

  • Strong verbal and written communication skills and technical capabilities are essential to position.

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, enterwww.finra.org/careersinto 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 FINRAs 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.

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 broker-dealers to provide FINRA with duplicate statements for all of those accounts.All of those accounts are subject to the Codesinvestment 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 (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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 SECs oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRAs independent regulation plays a critical role in Americas 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 openings atwww.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 persons relatives, friends or associates.

FINRA abides by the requirements of41 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 of41 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.

Posted: 2019-04-29 Expires: 2019-05-28
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Examiner - Market Regulation, TFCE - New York, NY and Chicago, IL

New York, NY 10007

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