The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Financial Operations Examiner opening in New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.
The Financial Operations Examiner should have an intermediate level of competence in identifying risks, developing regulatory strategies to address those risks, and working with teams to execute these strategies. 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 the examinations of assigned member firms; assist in identifying key risks and developing strategies to review such risks; conduct move-the-line and risk reviews, and prepare examination reports while working under moderate supervision.
Identify notable trends in industry practices, products and procedures with the guidance of senior team members.
Assist team members in analyzing member firms’ financial and operational books and records to identify areas of risk.
Actively participate in meetings with firms during examinations under moderate supervision and guidance.
Work to ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
Participate on committees and special projects.
Bachelor’s Degree in Accounting, Finance, or Economics with a minimum of 6 credit hours in Accounting preferred; equivalent experience in a directly related securities industry position may be substituted for Bachelor’s degree.
Knowledge of financial and operational risks; and securities industry rules, regulations, guidelines and industry best practices
Knowledge of securities products, activities of member firms and the securities industry
Minimum of one to three years of securities, compliance or financial regulatory experience
Proficient critical thinking, research and quantitative skills
Strong analytical skills; proficient at analyzing data and identifying risk
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.