Principal Examiner – Exam Intelligence Response Team - All FINRA Locations

This position is for a Principal Examiner on the Exam Intelligence Response team that is primarily focused on targeted reviews at member firms that conduct business in areas that present emerging/evolving risk (“thematic exam”).

The position is an expert level, professional role, utilizing an expanded skillset and knowledge related to data and intelligence analytics, and demonstrated ability to independently build strong partnerships internally and externally.

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.


* Moderate securities, compliance, or financial regulatory experience

Knowledge Requirements:


* Intermediate knowledge of FINRA's risk fundamentals


* Intermediate knowledge of securities rules and regulations


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


* Intermediate knowledge of major review areas and the associated rule requirements


* Awareness and understanding of internal policies and protocols.

Skill Requirements:


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


* Intermediate 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 moderate supervision.


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

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candid...