Financial Examiner

1 month ago


Boston, United States Randstad USA Full time

Securities / Finance Examiner

Contract 6 - 9 Months

40.00 per hour

100% remote

Work in CST or EST time zone


Essential Job Functions:

 Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision

 Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity

 Serves as mentor to junior staff

 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.)

 Identifies exceptions, observations, and other findings.

 Completes key trainings

 Participates in meetings with firms

 Ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner


Education/Experience Requirements:

 Bachelors 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

 Advanced securities, compliance, or financial regulatory experience

 Advanced knowledge is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity.


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



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