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Examiner
Financial Industry Regulatory Authority (FINRA)
Chicago, IL, United States
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Description
Job Summary:
The Examiner conducts routine review of a somewhat complex nature for evidence of violations of applicable federal securities laws and FINRA and other Self-Regulatory Organization rules and regulations. The 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 pre-planning, complete risk reviews, and prepare exit-meeting reports, all while working under moderate supervision.
• Identify notable trends in industry practices, products and procedures with the guidance of senior team members.
• Compile and organize information from a variety of sources to be used in the development of risk reviews to address potential violative activity.
• 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.
• Present examination findings orally and in writing to management, and to other constituents in an organized, concise and timely fashion.
• Confer with senior staff and subject matter experts for guidance on complex issues.
• Ensure all administrative responsibilities are performed accurately and promptly.
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 Requirements:
• Bachelor’s Degree in Accounting, Finance, or Economics with a minimum of six credit hours in Accounting preferred; equivalent experience in a directly related securities industry position may be substituted for Bachelor’s degree.
• Knowledge of securities products, activities of member firms and the securities industry
• Minimum of three years of securities, compliance or financial regulatory experience.
• Sound critical thinking, research and quantitative skills.
• Strong analytical skills; proficient at analyzing data and identifying risk
• Excellent oral and written communication skills
• Strong time management skills.
Working Conditions:
• Work is performed in an office environment at FINRA and member firm premises.
• Work expectations include timely and high quality productivity.
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.