This job has expired, please see additional jobs below
Associate Regulatory Coordinator
Financial Industry Regulatory Authority (FINRA)
San Francisco, CA, United States
Job Details - this job has expired, please see similar jobs below
Description
Job Summary:
Regulatory Coordinators monitor and evaluate the financial, operational and sales practice conditions of member firms through continuous communication with member firm management and the review and analysis of financial reports, regulatory filings and other relevant data. The assistant regulatory coordinator should have basic knowledge of securities products and industry activities, as well as securities rules and regulations. A general understanding of the surveillance risk hierarchy is essential to fulfilling the responsibilities of this position. The assistant regulatory coordinator should possess strong critical thinking and analytical skills. This is a professional position sharing knowledge, developing and refining skills, and working under close supervision and guidance.
Position may be filled at various levels depending on experience and job skills of a successful candidate.
Essential Job Functions:
• Monitor and evaluate the financial, operational and sales practice conditions of assigned member firms to ensure compliance with FINRA and SEA rules and regulations through the review and analysis of financial reports and other relevant data, as well as the performance of specific surveillance functions pursuant to Divisional guidelines.
• Conduct continuous real-time risk identification of assigned member firms. Gain a basic understanding of all risks in FINRA’s risk hierarchy and how they apply to assigned member firms working under direct guidance and supervision.
• Identify member firms’ potential financial or operational difficulties, as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.
• Provide FINRA management with current information about assigned firms, Identify issues, recommend resolutions, and assist them with resolving problem situations.
• Act as a liaison with internal clients and assigned firms; provide guidance of FINRA, SEC and other rules to assist member organizations in conducting business within regulatory guidelines; and participate in meetings with firms while under direct supervision and guidance.
• Prepare risk based examination planning packages of assigned member firms and conduct planning meetings with the examination staff under direct supervision and guidance.
• Collaborate with examination staff, managers, other departments, and regulatory agencies to analyze, communicate and make recommendations with respect to regulatory intelligence.
• Work to ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
Other Responsibilities
• Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
• Participate on committees and special projects.
Qualifications
Education/Experience
• Bachelor’s Degree in Accounting, Finance, Economics or related field preferred with a minimum of 6 credits in Accounting; equivalent experience in a directly related securities industry position may be substituted for Bachelor’s degree.
• Basic knowledge of financial and operational risks; and securities industry rules, regulations, guidelines and industry best practices.
• Basic 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 and analytical skills; capable of analyzing data and identifying risk.
• Excellent oral and written communication skills
• Strong time management skills.
Work Conditions
• Work will be performed in an office environment. Extended hours may be required.
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.