Principal Examiner - All Finra Locations

To conduct risk-based examinations of FINRA member firms and registered representatives

Essential Job Functions:


* Leads examinations of all levels of risk and complexity with minimal supervision


* Conducts and memorializes discovery and risk reviews of all levels of risk and complexity


* Proactively identifies notable trends and participates in national projects


* Interviews firm personnel independently


* Gathers regulatory intelligence using internal FINRA systems


* Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.)  and systems (order management systems, supervisory alert systems, etc.)


* Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner


* Identifies exceptions, observations, and other findings 


* Trains and mentors junior staff and new hires

Education/Experience Requirements:


* Bachelor's Degree or an equivalent combination of education and experience required.

Major in Accounting, Finance, Economics, Business Administration or related fields preferred.

Advanced degree/certification a plus


* Significant securities, compliance or financial regulatory experience

Knowledge Requirements:


* Advanced knowledge of FINRA's risk fundamentals 


* Advanced knowledge of securities rules and regulations


* Advanced knowledge of firm business models, business lines, customer bases, products and services


* Advanced knowledge of all major regulatory areas and the associated rule requirements


* Awareness and understanding of internal policies and protocols

​

Skill Requirements:


* Ability to effectively articulate matters with high degree of complexity through verbal and written communications


* Advanced critical thinking, research and analytical skills


* Proficient in utilizing available internal resources


* Ability to manage time effectively and complete assignments within budgeted timeframes


* Ability to identify and prioritize risk


* Ability to work independently with minimal supervision


* Ability to recognize and understand the relationship and impact between different regulatory areas

For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Salary $106,400, Maximum Salary $200,200

Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

#LI-Hybrid

To be considered for this position,...