Associate Principal Examiner

Found in: Talent US C2 - 2 weeks ago


Woodbridge Township, United States finra Full time

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Principal Examiner:

To conduct risk-based examinations of FINRA member firms and registered representatives.

  • 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.)
  • Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
  • Identifies exceptions, observations, and other findings 

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


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