Associate Principal Examiner, TFCE

2 months ago

Woodbridge Township, United States finra Full time

The Regulatory Analyst III conducts routine review and investigations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under available supervision.

Essential Job Functions:

  • Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
  • Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and/or federal securities laws.
  • Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
  • Through the review/investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets.
  • Demonstrates a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA/SEC rules and regulations; performs preventive compliance functions.
  • Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
  • Utilizes computer resources and software applications for high-level data analysis pursuant to investigation/review procedures.
  • Interfaces with members, peers, management and others and provides excellent internal/external customer service in specialized area of regulatory responsibility.

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 five years of directly related experience. Substantial knowledge of relevant FINRA/SEC rules and regulations.
  • Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews.
  • Ability to initiate and complete quality reviews.
  • Competence using a desktop computer with the full suite of office software applications.

Work Conditions:

  • Ability to work under pressure. Attention to detail is essential.
  • Strong verbal and written communication skills and technical capabilities are essential to position.
  • Some travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.CA: Minimum Salary $91,500, Maximum Salary $170,900CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300IL*: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700*Including positions performed outside the state but reporting to an office or manager in that state.Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

  • TAS Staff

    5 months ago

    Woodbridge Township, United States Citrin Cooperman Full time

    Citrin Cooperman offers a dynamic work environment, fostering professional growth and collaboration. We’re continuously seeking talented individuals who bring fresh perspectives, a problem-solving mindset, and sharp technical expertise. We know you have choices, so our team of collaborative, innovative professionals are at the ready to support your...

  • Geotechnical Principal

    4 weeks ago

    Woodbridge, Virginia, United States ECS Mid-Atlantic, LLC Full time

    Job SummaryWe are seeking a highly experienced Geotechnical Principal to join our team at ECS Mid-Atlantic, LLC. As a key member of our geotechnical department, you will provide technical expertise and support to our staff, clients, and projects.Key ResponsibilitiesProvide technical guidance and support to geotechnical staff, clients, and projectsHost or...

  • Principal Examiner, Regulatory Analysis

    2 months ago

    Woodbridge, New Jersey, United States finra Full time

    Job SummaryThe Regulatory Analyst III conducts routine review and investigations of complex market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is a competent-level professional role in which incumbents apply their job skills and work under available supervision.Key ResponsibilitiesMarket...

  • Preschool Principal

    1 week ago

    Limerick Township, United States Chesterbrook Academy Full time

    Preschool Principal Chesterbrook Academy (#722), 441 North Lewis Rd, Limerick, Pennsylvania, United States of America Req #7565 Wednesday, October 9, 2024 ...

  • Overnight Facilities Associate

    2 weeks ago

    Woodbridge, United States New Story Schools Full time

    Do you have a passion for education and being a part of a mission-driven organization? Do you want to join a fast-growing company with excellent benefits, such as tuition reimbursement, generous paid time off, and so much more? Rivermont Schools, located at 8540 Cinder Bed Rd in Lorton, VA"is seeking a qualified"Mental Health Associate"to work under the...

  • Principal Security Analyst

    1 month ago

    Howell Township, United States Kforce Inc. Full time

    RESPONSIBILITIES:Kforce is working with a client in Howell, NJ that is seeking a Principal Security Analyst to join their team. This position is direct hire, full time and fully remote. If you are a strategic cybersecurity leader with a passion for protecting data and driving organizational growth, we encourage you to apply for this exciting...

  • Veterinary Associate

    2 months ago

    Woodbridge, Virginia, United States Ridge Lake Animal Hospital Full time

    Job OverviewWe are seeking a highly skilled and compassionate Veterinary Associate to join our talented team at Ridge Lake Animal Hospital. As a key member of our veterinary team, you will be responsible for providing exceptional patient care and contributing to the overall success of our hospital.Key Responsibilities:Provide high-quality medical and...

  • Premium Accounting Advocate

    5 months ago

    Woodbridge Township, United States World Insurance Associates LLC Full time

    Position Overview The Premium Accounting Advocate’s main responsibility is to act as the single point of contact for the regions and markets they serve. This includes maintain a high level of satisfaction by ongoing and open communication via phone, meetings, or office visits. Resolve issues through coordination with the other leaders within Premium...

  • CDL Operator

    5 months ago

    Woodbridge Township, United States Evergreen North America Full time

    Description Evergreen North America is a leading provider of environmental and industrial cleaning solutions to the downstream and midstream energy sectors. We are leaders in each of our respective service lines, including Vapor Control, Chemical Cleaning, Tank Cleaning, Water Treatment, Vacuum Services, Hydroblasting, Hydroexcavation, and Industrial...

  • Veterinarian Associate

    3 weeks ago

    Woodbridge, Virginia, United States Community Veterinary Partners Full time

    Exceptional Veterinary Care in Woodbridge, VirginiaAt Crossroads Animal Care Center, we are dedicated to providing top-notch veterinary care to dogs and cats in the Northern Virginia area. Our team of compassionate and experienced veterinarians is committed to delivering exceptional service and ensuring the comfort of our clients and patients.What We...

  • Veterinarian Associate

    1 month ago

    Woodbridge, Virginia, United States Community Veterinary Partners Full time

    About UsAt Community Veterinary Partners, we're dedicated to providing exceptional care to pets in the Woodbridge, Virginia community. Our team of compassionate and experienced veterinarians is committed to delivering top-notch service and ensuring the comfort of our clients and patients.Our MissionWe're passionate about building a community that provides...

  • Litigation Paralegal

    4 weeks ago

    Woodbridge Township, United States Career Group Full time

    Litigation Paralegal – Woodbridge, NJA mid-size corporate law firm with offices across the east coast is growing and looking for a Litigation Paralegal to support two Partners, one Counsel and 3 Associates. Salary DOE: $85 - 110k base range (exempt) + discretionary bonus + multiple great benefits options + 401k with profit sharing after 1 year of service...

  • Full Time Sales Associate

    1 month ago

    Woodbridge, United States La-Z-Boy Inc. Full time

    Job DescriptionJob DescriptionComfort starts with our 10,000+ team members across the globe, who are transforming the power of comfort every day. Our employees have the power to change lives, in our homes, work and communities. We foster an inclusive environment while honoring a legacy built on family, where everyone can be themselves.If you are ready to...

  • Radiologic Technologist

    2 weeks ago

    Woodbridge, Virginia, United States Jobs for Humanity Full time

    Job Title: Radiologic TechnologistJobs for Humanity is collaborating with Upwardly Global and Adventist Health to build an inclusive and just employment ecosystem.We support individuals coming from all walks of life.Job Summary:Operates x-ray equipment to produce radiographs of designated portions of the body as ordered by physicians.Positions and instructs...

  • Optometrist Medical Group Specialist

    2 months ago

    Woodbridge, Virginia, United States Kaiser Permanente Full time

    Job SummaryThis position offers a $50k sign on bonus. As an Optometrist Medical Group Specialist, you will examine patients with a full range of visual problems, diagnose visual diseases, disorders, and deficiencies, and prescribe treatment according to the laws of the State of Maryland, District, or Commonwealth.Key ResponsibilitiesExamine patients using a...

  • Optometrist Medical Specialist

    2 weeks ago

    Woodbridge, Virginia, United States Kaiser Full time

    Job Summary:This position offers a $50k sign on bonus. As an Optometrist, you will examine patients with a full range of visual problems, diagnose visual diseases, disorders, and deficiencies, and prescribe treatment as licensed and credited. You will refer patients to other appropriate Kaiser Permanente providers as needed for further evaluation and...

  • Optometrist Medical Specialist

    1 month ago

    Woodbridge, Virginia, United States Kaiser Full time

    Job SummaryThis position offers a $50k sign on bonus. As an Optometrist, you will examine patients with a full range of visual problems, diagnose visual diseases, disorders, and deficiencies, and prescribe treatment as licensed and credited. You will also refer patients to other appropriate Kaiser Permanente providers as needed for further evaluation and...

  • Principal Cybersecurity Specialist

    2 weeks ago

    Middletown Township, NJ , USA, United States AT&T Full time

    About the CompanyAT&T is a leading integrated communications and entertainment company, developing new technologies to make it easier for customers to stay connected to their world.About the TeamOur team works with the latest advancements in encryption algorithms and cryptographic techniques, leveraging state-of-the-art tools and technologies to stay ahead...

  • Optometrist Medical Specialist

    1 week ago

    Woodbridge, Connecticut, United States Kaiser Permanente Full time

    Job Summary:To examine patients with a wide range of visual problems, diagnose visual diseases, disorders, and deficiencies, and prescribe treatment as licensed and credentialed.Refer patients to other appropriate Kaiser Permanente providers as needed for further evaluation and treatment.Key Responsibilities:Examine patients with a full range of visual...

  • Radiologic Technologist

    2 weeks ago

    Woodbridge, Virginia, United States Jobs for Humanity Full time

    We are seeking a skilled Radiologic Technologist to join our Outpatient Radiology team at Adventist Health. As a key member of our team, you will be responsible for operating x-ray equipment to produce high-quality radiographs of designated body parts, as ordered by physicians. Your expertise will ensure accurate and safe imaging procedures for our...