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Examinations Business Conduct Member Supervision
Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks.
Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms.
Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of our member firms.
We take a risk-based 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 four-year 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, Anti-Money Laundering, Communications with the Public, Net Capital, etc.
We classify each member firm by primary business model into one of four Firm Groups :
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 FINRA’s 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 :
Senior Examiner (Grade 45)
Essential Job Functions :
Associate Principal Examiner (Grade 46)
Essential Job Functions :
Principal Examiner (Grade 47)
Essential Job Functions :
Examiner (Grade 44)
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
Minimal securities, compliance, or financial regulatory experience
Knowledge Requirements :
Skill Requirements :
Ability to effectively articulate matters with low degree of complexity through verbal and written communications
Senior Examiner (Grade 45)
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 :
Skill Requirements :
Proficient in utilizing available internal resources
Associate Principal Examiner (Grade 46)
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
Knowledge Requirements :
Skill Requirements :
Principal Examiner (Grade 47)
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
Knowledge Requirements :
Skill Requirements :
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 candidate’s skill set, level of experience, education, and internal peer compensation comparisons .
California : Minimum of $63,600, Maximum of $122,300
Washington, DC : Minimum of $66,100, Maximum of $117,100
Colorado / Hawaii : Minimum of $57,500, Maximum of $101,900
New York, NY : Minimum of $69,000, Maximum of $122,300
Washington St : Minimum of $57,500, Maximum of $117,100
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 candidate’s skill set, level of experience, education, and internal peer compensation comparisons .
California : Minimum of $73,000, Maximum of $141,900
Washington, DC : Minimum of $76,200, Maximum of $136,000
Colorado / Hawaii : Minimum of $66,200, Maximum of $118,200
New York, NY : Minimum of $79,400, Maximum of $141,900
Washington St : Minimum of $66,200, Maximum of $136,000
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 candidate’s skill set, level of experience, education, and internal peer compensation comparisons .
California : Minimum of $84,500, Maximum of $165,100
Washington, DC : Minimum of $88,400, Maximum of $158,200
Colorado / Hawaii : Minimum of $76,800, Maximum of $137,500
New York, NY : Minimum of $92,200, Maximum of $165,100
Washington St : Minimum of $76,800, Maximum of $158,200
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 candidate’s skill set, level of experience, education, and internal peer compensation comparisons .
California : Minimum Salary $98,400, Maximum Salary $193,400
Washington, DC : Minimum of $102,800 Maximum of $185,300
Colorado / Hawaii : Minimum Salary $89,400, Maximum Salary $161,200
New York, NY : Minimum Salary $107,200, Maximum Salary $193,400
Washington : Minimum Salary $89,400, Maximum Salary $185,300
Last updated : 2024-05-04
Full Time
$93k-122k (estimate)
04/25/2024
05/08/2024
sekelladesign.com
Seattle, WA
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