Associate Principal Examiner

2 weeks ago

Boca Raton, Florida, United States Financial Industry Regulatory Authority, Inc. Full time

An Alternative Net Capital (ANC) Associate Principal Specialist conducts examinations to assess member firms' risk management frameworks and evaluate systems, procedures and internal controls established to effectively manage market, credit and liquidity risks.

The role includes in-depth review, analysis, and testing of the of firms' books and records and internal control processes to determine that market, credit and liquidity risk exposures are within risk appetite and accordingly capitalized in compliance with SEA Rule 15c3-1(Appendix E), and other applicable rules and regulatory requirements.

The review process includes holding meetings with firm personnel in areas such as Risk Management (Market, Credit and Liquidity), Product Controllers, Treasury, Operations, Trading, Legal & Compliance, Internal Audit and Regulatory Reporting.

Upon review of the firm's processes and controls, the assessment and findings are documented and presented to management and/or other relevant internal groups.


  • Intermediate ability to assess member firm's compliance with the SEA Rule 15c3-1(Appendix E) and other applicable rules and regulatory requirements
  • Intermediate ability to assess compliance of firm's market, credit and liquidity risk management frameworks with the aforementioned rules
  • Intermediate ability to evaluate systems and procedures for the establishment and implementation of comprehensive internal controls to effectively manage risk.
  • Intermediate ability to review, analyze, and test member firm systems (front, middle, and back office) used to capture, aggregate and measure market, credit and liquidity exposures, limits and associated risks.

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 time-frames
  • 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
Grade 46


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 $91,500, Maximum Salary $170,900

Washington, DC:
Minimum Salary $91,500, Maximum Salary $163,700

Colorado/Hawaii:
Minimum Salary $79,500, Maximum Salary $142,300

New York, NY:
Minimum Salary $95,400, Maximum Salary $170,900

Washington State:
Minimum Salary $79,500, Maximum Salary $163,700

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

Please note:

If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users.

If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance.

Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.

FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.


Time Off and Paid Leave*FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year).

Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).

Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).

Full-time employees receive nine paid holidays.

  • Based on full-time schedule
Important Information


FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator.

FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.

All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA.

Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.


As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

Search Firm Representatives


Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.

Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA.

All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer


All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates.

FINRA abides by the requirements of 41 CFR a).

This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR a).

This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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