Principal Examiner, Trading Specialist Group

Found in: Talent US C2 - 1 week ago


Dallas, United States finra Full time

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

Essential Job Functions:

  • Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.
  • Evaluate firms’ pre-trade financial, erroneous and regulatory risk management controls to assess compliance with SEC Rule 15c3-5 in equity, options, fixed income and/or other SEC regulated products traded on an Exchange or Alternative Trading System (ATS).
  • Demonstrate an understating of a firm’s trading activity, financial and regulatory risk management controls, order and execution management systems, and order lifecycles in connection with its market access activities.
  • Evaluate firms’ compliance with all relevant components of SEC Regulation ATS, including Form ATS, Form ATS-N and Form ATS-R disclosure obligations, safeguarding of subscribers’ confidential trading information, and supervisory requirements.
  • Evaluate a firm’s compliance with Regulation SCI.
  • Gather and critically analyze trading records and other relevant data provided by firms in response to tailored requests for information.
  • Compile concise written summaries that clearly support the findings and conclusions of the review, including the information obtained, analysis performed, and any exceptions identified.
  • Act as a trading specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations.
  • Independently conduct background interviews and maintain ongoing discussions with relevant firm personnel.
  • Utilize internal FINRA systems and data resources to validate data and assess the reasonability of a firm’s trading controls.
  • Gather and incorporate pertinent regulatory intelligence using internal FINRA systems and data resources.
  • Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.

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
  • Significant securities, compliance or financial regulatory experience

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
  • Ability to work independently with minimal supervision
  • Ability to recognize and understand the relationship and impact between different regulatory areas

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



  • Dallas, United States Strategic Wealth Planning Full time

    Kitchen and Bath Showroom Designer (Design Sales) CPPLProsourcewholesaleposted 04/17/2024 More...front runner Trade Specialist / Handyman Vixxo Dallas, TX 75398 posted yesterday More...front runner Commercial - Senior Preconstruction Manager Moss Mckinney, TX 75071 posted 04/18/2024 More...front runner Trade Execution Specialist Strategic Wealth Planning...


  • Dallas, United States CareerBuilder Full time

    Kitchen and Bath Showroom Designer (Design Sales) CPPL Prosourcewholesale posted 04/17/2024 More... front runner Trade Specialist / Handyman Vixxo Dallas, TX 75398 posted yesterday More... front runner Commercial - Senior Preconstruction Manager Moss Mckinney, TX 75071 posted 04/18/2024 More... front runner Trade Execution Specialist Strategic Wealth...


  • Dallas, United States Cynet Systems Full time

    Job Description: Responsibilities: Lead the budget tracking for the major industry trade shows. Work with the agency and brand partners to successfully plan for and execute events; including vendor set-up and payment, ordering, shipping, and activation. Effectively communicate with brand partners, event organizers, Eyecare and Eyewear brands, and service...


  • Dallas, United States CareerBuilder Full time

    Yoh has an exciting, full-time opportunity for a Principal Electrical Engineer (EMI) to join our Autonomous Technology client. This opportunity is ideal or candidates with 7+ years of Electrical Engineering experience, strong knowledge of EMI/EMC design, and live within a commutable distance to the office in Dallas, TX for a hybrid work environment. See...


  • Dallas, United States CareerBuilder Full time

    Principal Technical Consultant, Environmental (Principal Level) page is loaded Principal Technical Consultant, Environmental (Principal Level) Apply locations Dallas, Texas Houston, Texas New Orleans, Louisiana time type Full time posted on Posted 9 Days Ago job requisition id R00018773 ERM is seeking a Principal Technical Consultant, Environmental to join...

  • Principal Electrical Engineer

    Found in: Appcast US C2 - 2 weeks ago


    Dallas, United States Yoh, A Day & Zimmermann Company Full time

    Yoh has an exciting, full-time opportunity for a Principal Electrical Engineer (EMI) to join our Autonomous Technology client. This opportunity is ideal or candidates with 7+ years of Electrical Engineering experience, strong knowledge of EMI/EMC design, and live within a commutable distance to the office in Dallas, TX for a hybrid work environment.See below...


  • Dallas, United States Yoh, A Day & Zimmermann Company Full time

    Yoh has an exciting, full-time opportunity for a Principal Electrical Engineer (EMI) to join our Autonomous Technology client. This opportunity is ideal or candidates with 7+ years of Electrical Engineering experience, strong knowledge of EMI/EMC design, and live within a commutable distance to the office in Dallas, TX for a hybrid work environment.See below...

  • Principal Electrical Engineer

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago


    Dallas, United States Yoh, A Day & Zimmermann Company Full time

    Yoh has an exciting, full-time opportunity for a Principal Electrical Engineer (EMI) to join our Autonomous Technology client. This opportunity is ideal or candidates with 7+ years of Electrical Engineering experience, strong knowledge of EMI/EMC design, and live within a commutable distance to the office in Dallas, TX for a hybrid work environment.See below...


  • Dallas, United States Managed Care Staffers Full time

    Job DescriptionJob DescriptionWorkers Comp Claims Examiner - Remote WorkOur client, a large claims administrator, is looking for a Workers Comp. Claims Examiner to work remotely. This position will be working to support the Anchorage, AK office. Position is open to W-2 candidates only.Candidates MUST live in one of the following states: TX, IL, IN or WIPay...

  • Global Banking

    Found in: Talent US C2 - 1 week ago


    Dallas, United States Goldman Sachs Full time

    GLOBAL BANKING & MARKETS FICC AND EQUITIES Our core value is building strong relationships with our institutional clients, which include corporations, financial service providers, and fund managers. We help them buy and sell financial products on exchanges around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team with a...


  • Dallas, United States Select Source International Full time

    Job DescriptionJob DescriptionJob DescriptionInvestigate, evaluate, and settle claims, applying technical knowledge and human relations skills to effect fair and prompt disposal of cases and to contribute to a reduced loss ratio.Adjust reserves or provide reserve recommendations to ensure that reserve activities are consistent with corporate policies.Resolve...


  • Dallas, United States Imprimis Group Full time

    Job DescriptionJob DescriptionImprimis Group, Inc. has partnered with a growing company in Dallas, TX that is hiring a Loss Mitigation Specialist.  The Loss Mitigation Specialist will be responsible for providing exceptional service during the default process, to both internal and external customers. The Loss Mitigation Specialist will partner with the...


  • Dallas, United States The Rockridge Group Full time

    Job DescriptionJob DescriptionTITLE: BANK LOAN SPECIALISTClient X is a fast-growing service-driven global administrator. We feature a unique technology platform with one of the most experienced service teams in the industry. Client X provides fund administration, middle office services, integrated risk & portfolio management, regulatory & compliance...


  • Dallas, United States GFAK AMERICA TRADING LLC Full time

    Job DescriptionJob DescriptionPOSITION: CHIEF BUSINESS OFFICERAcosta Kneeland Group/ GFAK America Trading CompanyResponsibilitieso Strategical/ Tactical Planningo Business Developmento Vendor relationship managemento Customer relationship managemento Planning and executing in order to achieve highest operational efficiency o Daily – weekly – monthly...

  • Principal Java Software Engineer

    Found in: Appcast US C2 - 1 week ago


    Dallas, United States The Judge Group Full time

    A financial firm based in Chicago is looking to add a Principal Java Engineer to their team. The company is currently in the beginning stages of a long term transformation as they rebuild three of their main platforms from scratch. If you are looking for a place where you can grow professionally and financially all while adding value to your team, please...

  • Principal Java Software Engineer

    Found in: Appcast Linkedin GBL C2 - 2 weeks ago


    Dallas, United States The Judge Group Full time

    A financial firm based in Chicago is looking to add a Principal Java Engineer to their team. The company is currently in the beginning stages of a long term transformation as they rebuild three of their main platforms from scratch. If you are looking for a place where you can grow professionally and financially all while adding value to your team, please...


  • Dallas, United States The Judge Group Full time

    A financial firm based in Chicago is looking to add a Principal Java Engineer to their team. The company is currently in the beginning stages of a long term transformation as they rebuild three of their main platforms from scratch. If you are looking for a place where you can grow professionally and financially all while adding value to your team, please...


  • Dallas, United States Affinity Group Full time

    Job DescriptionJob DescriptionNon-Commercial Specialist (Food Broker)  DallasWe are seeking a results-oriented producer to be our next Non-Commercial Food Sales Specialist to be based in Dallas, TX.  The ideal talent will report directly to our VP of Sales and should have prior experience within any of the following selling disciplines: sales/business...


  • Dallas, United States Frontline Source Group Full time

    Client Support SpecialistOur client located in Dallas, TX has a need for a Client Support Specialist on a direct hire basis. Company Profile: Healthcare IndustryTeam CultureGrowingClient Support Specialist Role: As a Client Support Specialist, you will be responsible for various client-related tasks, including report generation, communication with Business...

  • Customer Support Specialist

    Found in: Appcast Linkedin GBL C2 - 5 days ago


    Dallas, United States Frontline Source Group Full time

    Client Support SpecialistOur client located in Dallas, TX has a need for a Client Support Specialist on a direct hire basis. Company Profile: Healthcare IndustryTeam CultureGrowingClient Support Specialist Role: As a Client Support Specialist, you will be responsible for various client-related tasks, including report generation, communication with Business...