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Examinations - Business Conduct - Member Supervision

Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms.

Our Examinations Program is a critical component of FINRA's regulatory operations and one of the primary means by which we oversee the activities of our member firms. We take a risk-based approach to our oversight, with the goal of detecting, deterring, or addressing activities that may cause investor harm or adversely impact the integrity of our markets.

Depending on the type of firm and our assessment of the risk, we generally examine firms on a one, two or four-year frequency; at a minimum, every firm is examined at least once every four years. We examine firms for compliance with FINRA rules, federal securities laws and regulations, and, when applicable, exchanges' rules. Areas of review can include Supervision, Regulation Best Interest, Trade Reporting, Anti-Money Laundering, Communications with the Public, Net Capital, etc.

We classify each member firm by primary business model into one of four Firm Groups:
• Retail;
• Diversified, Carrying and Clearing;
• Capital Markets; and
• Trading and Execution.

Each of these Firm Groups has dedicated FINRA staff with knowledge in regulating risks specific to those business models. Your application will be considered for a position within one of our four Firm Groups.
Utilizing your analytical skills, you can be on the front lines of FINRA's Mission to protect investors and the integrity of the markets. We have various levels of Examination Positions open. See below and apply to be considered.

Examiner - (Grade 44)

Essential Job Functions:
  • Leads examinations of low risk and complexity with direct supervision
  • Conducts and memorializes discovery and risk reviews of low risk and complexity
  • 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 FINRA's mission in an efficient and effective manner
Senior Examiner - (Grade 45)

Essential Job Functions:
  • Leads examinations of low, and medium-low risk and complexity with moderate supervision
  • Conducts and memorializes discovery and risk reviews of low to medium, low and medium-low risk and complexity
  • Completes key trainings and learns to complete work independently
  • Interviews firm personnel with moderate supervision
  • 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
Associate Principal Examiner - (Grade 46)

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 FINRA's mission in an efficient and effective manner
Principal Examiner - (Grade 47)

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 FINRA's mission in an efficient and effective manner
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 [redacted] or by email at EmployeeR[redacted]. Please note that this process is exclusively for inquiries regarding application accommodations.

Examiner - (Grade 44)

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
  • Minimal securities, compliance, or financial regulatory experience
Knowledge Requirements:
  • Basic knowledge of FINRA's risk fundamentals
  • Basic knowledge of securities rules and regulations
  • Basic knowledge of firm business models, business lines, customer bases, products, and services
  • Basic 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 low degree of complexity through verbal and written communications
Senior Examiner - (Grade 45)

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:
  • Basic-to-intermediate or Functional knowledge of FINRA's risk fundamentals
  • Basic-to-intermediate or Functional knowledge of securities rules and regulations
  • Basic-to-intermediate or Functional knowledge of firm business models, business lines, customer bases, products and services
  • Basic-to-intermediate or Functional 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 low to moderate degree of complexity through verbal and written communications
  • Basic-to-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 manage time effectively and complete assignments within budgeted timeframes, while learning to work independently
  • Beginning to recognize and understand the relationship and impact between different regulatory areas
Associate Principal Examiner - (Grade 46)

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
  • Experience is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity
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
Principal Examiner - (Grade 47)

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
  • 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


Grade 44
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 of $63,600, Maximum of $122,300
Washington, DC: Minimum of $66,100, Maximum of $117,100
Colorado/Hawaii: Minimum of $57,500, Maximum of $101,900
New York, NY: Minimum of $69,000, Maximum of $122,300
Washington St: Minimum of $57,500, Maximum of $117,100

Grade 45
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 of $73,000, Maximum of $141,900
Washington, DC: Minimum of $76,200, Maximum of $136,000
Colorado/Hawaii: Minimum of $66,200, Maximum of $118,200
New York, NY: Minimum of $79,400, Maximum of $141,900
Washington St: Minimum of $66,200, Maximum of $136,000

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 of $84,500, Maximum of $165,100
Washington, DC: Minimum of $88,400, Maximum of $158,200
Colorado/Hawaii: Minimum of $76,800, Maximum of $137,500
New York, NY: Minimum of $92,200, Maximum of $165,100
Washington St: Minimum of $76,800, Maximum of $158,200

Grade 47
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 $98,400, Maximum Salary $193,400
Washington, DC: Minimum of $102,800 Maximum of $185,300
Colorado/Hawaii: Minimum Salary $89,400, Maximum Salary $161,200
New York, NY: Minimum Salary $107,200, Maximum Salary $193,400
Washington: Minimum Salary $89,400, Maximum Salary $185,300

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 www.finra.org/careers into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you ne