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Examiner
Financial Industry Regulatory Authority (FINRA)
New York, NY, United States
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Description
Job Summary:
The Examiner conducts routine review and investigations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under available supervision.
Position may be filled at various levels depending on experience and job skills of a
successful candidate.
Essential Job Functions:
• Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws.
• Confers with senior staff and subject matter experts for guidance on complex issues.
• Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
• Through the review/investigative process the Analyst resolves situations that may impact the integrity of FINRA or other markets.
• Develops a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations; performs preventive compliance functions.
• Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
• Utilizes computer resources and software applications for data analysis pursuant to investigation/review procedures.
• Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.
Qualifications
Education/Experience Requirements:
• Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
• A minimum of three years of directly related experience.
• Knowledge of relevant FINRA/SEC rules and regulations.
• Knowledge of securities markets, member firm operations, books and records.
• Ability to conduct telephone interviews.
• Ability to initiate and complete quality reviews.
• Competence using a desktop computer with the full suite of office software applications.
Working Conditions:
• Ability to work under pressure.
• Attention to detail is essential.
• Strong verbal and written communication skills and technical capabilities are essential to position.
• Some travel 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.