Exciting opportunity to join our Examinations Team focusing on Trading and Execution Firm Groups. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account whose ultimate beneficial owner(s) would be deemed an individual.

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 :

• 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 FINRA's mission in an efficient and effective manner

Senior Examiner (Grade 45)

Essential Job Functions :

• Leads examinations of low, and medium-low risk and complexity with moderate supervision
• Conducts and memorializes discovery and risk reviews of low to medium, low and medium-low 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 FINRA's 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, medium-low, and medium-high risk and complexity with moderate supervision
• Conducts and memorializes discovery and risk reviews of low to medium-high 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 FINRA's mission in an efficient and effective manner

Principal Examiner (Grade 47)

Essential Job Functions :

• Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision
• Conducts and memorializes discovery and risk reviews of low to medium-high 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 FINRA's mission in an efficient and effective manner

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 :

• Basic knowledge of FINRA's 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 :

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 :

• Basic-to-intermediate or Functional knowledge of FINRA's risk fundamentals
• Basic-to-intermediate or Functional knowledge of firm business models, business lines, customer bases, products and services
• Basic-to-intermediate 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
• Basic-to-intermediate 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 :

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
• 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 FINRA's 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 :

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

• 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 FINRA's 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

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

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Last updated : 2024-05-10