The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Examiner opening in New York, NY and Nationwide. To be considered for this position, please submit your resume through our careers site-no phone calls, please.
The Examiner is responsible for identifying risks, developing regulatory strategies to address those risks and works with teams to achieve the goals of the strategies. The Examiner provides input to staff with regard to his/her respective area(s) of competence. This is a professional position sharing knowledge, developing and refining skills, and working under moderate supervision and guidance.
Position may be filled at various levels depending on experience and job skills of a successful candidate.
Essential Job Functions:
Participate in examinations, special projects, sweeps and task forces as assigned. The Examiner possesses a competent level of knowledge of relevant rules, regulations, guidelines and industry practices.This activity may be conducted either in the field or in the office.
Proactively identify notable trends in industry practices, products and procedures.
Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
Demonstrate proficient critical thinking, research and quantitative skills.
Possess a competent level of knowledge of securities products, activities of member firms and the industry.
Participate as a team member on examinations to assist with or conduct discovery/risk reviews and examination reports.
Actively participate in meetings on firms and/or examinations with moderate supervision and guidance.
Bachelor’s degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/ certifications a plus.
Knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.
Demonstrate working knowledge of risk analysis and proactive risk identification.Possess strong analytical skills.
Excellent oral and written communication skills.
Possess excellent time management skills.
Minimum of one to three years of securities, compliance or financial regulatory experience.
Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.
FINRA is not part of the government. We’re an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.
We do this by:
writing and enforcing rules gove...rning the activities of 3,917 securities firms with 639,680 brokers;
examining firms for compliance with those rules;
fostering market transparency; and
Our independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.
Every investor in America relies on one thing: fair financial markets. That's why FINRA works every day to ensure that:
every investor receives the basic protections they deserve;
anyone who sells a securities product has been tested, qualified and licensed;
every securities product advertisement used is truthful, and not misleading;
any securities product sold to an investor is suitable for that investor's needs; and
investors receive complete disclosure about the investment product before purchase.
In 2015, through our aggressive vigilance, we brought 1,512 disciplinary actions against registered brokers and firms. We levied $95.1 million in fines. And we ordered $96.6 million in restitution to harmed investors. We also referred more than 800 fraud and insider trading cases to the SEC and other agencies for litigation and/or prosecution.
Learn more about what we do to protect investors and ensure market integrity.