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Principal Trading Regulatory Liaison

2 months ago

Boston, United States Financial Industry Regulatory Authority , Inc. Full time
The Principal Trading Regulatory Liaison ("TRL") position within T&E ("Trading & Execution") is an experienced individual contributor role, serving as the main point of contact between T&E and other FINRA departments, including Member Supervision, Market Regulation, and Enforcement, on trading related issues concerning exams; interacting with other Firm Exam, Specialists and Operations teams within Member Supervision; and serving as FINRA's primary liaisons for member firms and RSA Exchanges. The TRL is responsible for identifying and recommending the regulatory risks at firms as part of the risk-based examination planning process. This involves leading exam planning meetings and providing recommendations and extensive input to T&E managers and staff regarding exam focusing of risk-based content.

Essential Job Functions:
  • Prepare risk-based examination planning packages of relevant member firms, gather regulatory intelligence and data related to risk from Risk Monitoring, Market Regulation Surveillance, and client market surveillance staff. This information may include items such as recent filings detailing firm business changes, SEC exam reports, open investigations, and surveillance alerts.
  • Conduct preliminary research; and review and analyze examination findings and investigative results, disciplinary history, trends, registration, and other relevant data to determine the relevant risks of the firm. Collect, reconcile, and analyze information including broker-dealer documents, trading, and financial information, as well as internal FINRA documents to assist the exam in the analysis of an investigation.
  • Serve as the main point of contact to communicate firm information between Risk Monitoring and T&E exam staff. Manage and conduct complex investigative work and assist other T&E personnel as an expert on more complex investigative work.
  • Assist with first level management reviews of examinations and investigations.
  • Advise T&E Management on problematic situations, such as firm remediation related to systemic issues, communication and/or response issues with the firm, and researching FINRA Rule interpretation issues that arise.
  • Participate in onsite examination as needed, and attend exam exit meetings, interpretive discussions and other meetings with member firms.
  • Lead exam planning meetings and provide expert level knowledge directing exam staff regarding the Risk Scoping of examinations through identifying and relaying trading risk areas to exam staff. Complete investigations by consolidating the various factual details of an investigation into a final investigative report.
  • Advise on T&E investigations, including the review and interpretation of data to determine potential violations of securities rules.
  • Advanced knowledge of regulatory risks of the products offered by and the business activities of relevant member firms.
  • Develop T&E examination procedures and serve as a liaison to the Regulatory Programs Department to develop, track and implement Exam Workspace risk reviews.
  • Participate and question potential witnesses for both on- and off-the-record testimonies.
Education/Experience Requirements:
  • Bachelor's degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research/analytical skills.
  • A minimum of seven years of directly related experience. Extensive knowledge of relevant rules and regulations enforced by FINRA.
  • Extensive knowledge of securities markets, member firm operations, books and records. Ability to initiate and complete quality reviews.
  • Strong organizational and interpersonal skills. Demonstrated ability to successfully lead special projects.
  • Competence using a desktop computer with the full suite of office software applications.
Work Conditions
  • Work is normally performed in an office environment.
  • Extended hours and occasional travel is required.


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, 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.

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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.

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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 60-741.5(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 60-300.5(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.

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