Principal Examiner, Trading Specialist Group
Found in: Talent US C2 - 1 week ago
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
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