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Financial Operations Examiner - Market Regulation - TFCE - New York, NY at FINRA

Posted in General Business 30+ days ago.

This job brought to you by eQuest

Type: Full-Time
Location: New York, New York

Job Description:

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Financial Operations Examiner opening in New York, NY. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

The Examiner conducts routine review of a somewhat complex nature for evidence of violations of applicable federal securities laws and FINRA and other Self-Regulatory Organization rules and regulations. The Examiner should have an intermediate level of competence in identifying risks, developing regulatory strategies to address those risks, and working with teams to execute these strategies. This is a professional position sharing knowledge, developing and refining skills, and working under moderate supervision and guidance. 


Position may be filled at various levels depending on experience and job skills of a successful candidate.


Essential Job Functions:

  • Participate in the examinations of assigned member firms; assist in identifying key risks and developing strategies to review such risks; conduct pre-planning, complete risk reviews, and prepare exit-meeting reports, all while working under moderate supervision.

  • Identify notable trends in industry practices, products and procedures with the guidance of senior team members.

  • Compile and organize information from a variety of sources to be used in the development of risk reviews to address potential violative activity.

  • Assist team members in analyzing member firms’ financial and operational books and records to identify areas of risk.

  • Actively participate in meetings with firms during examinations under moderate supervision and guidance.

  • Work to ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.

  • Present examination findings orally and in writing to management, and to other constituents in an organized, concise and timely fashion.

  • Confer with senior staff and subject matter experts for guidance on complex issues.

  • Ensure all administrative responsibilities are performed accurately and promptly.

Other Responsibilities:

  • Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.

  • Participate on committees and special projects.


    Education/Experience Requirements:

    • Bachelor’s Degree in Accounting, Finance, or Economics with a minimum of six credit hours in Accounting preferred; equivalent experience in a directly related securities industry position may be substituted for Bachelor’s degree.

    • Knowledge of securities products, activities of member firms and the securities industry

    • Minimum of three years of securities, compliance or financial regulatory experience.

    • Sound critical thinking, research and quantitative skills.

    • Strong analytical skills; proficient at analyzing data and identifying risk

    • Excellent oral and written communication skills

    • Strong time management skills.

    Working Conditions:

    • Ability to work under pressure and attention to detail is essential.

    • Work is performed in an office environment at FINRA and member firm premises.

    • Work expectations include timely and high quality productivity.


    To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

    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.

    Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

    FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.

    In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

    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.

    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.

    About FINRA

    FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

    FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

    In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

    Find out more about us and how we work—and view our current openings—at

    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.

    FINRA is an Equal Opportunity and Affirmative Action Employer

    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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