Jobs

    Examinations - T&E Equities and Options - Member Supervision, All FINRA Locations - Woodbridge Township, United States - finra

    finra
    finra Woodbridge Township, United States

    1 month ago

    Show more Collapse job
    Default job background
    Full time
    Description
    Exciting opportunity to join our Examinations Team focusing on Trading and Execution Firm Groups. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account whose ultimate beneficial owner(s) would be deemed an individual. Utilizing your analytical skills, you can be on the front lines of FINRA's Mission to protect investors and the integrity of the markets.

    We have various levels of Examination Positions open. See below and apply to be considered.

    Examiner – (Grade 44)

    Essential Job Functions:

    • Leads examinations of low risk and complexity with direct supervision
    • Conducts and memorializes discovery and risk reviews of low risk and complexity
    • 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.)
    • Identifies exceptions, observations, and other findings
    • Completes key trainings
    • Participates in meetings with firms
    • Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner

    Senior Examiner – (Grade 45)

    Essential Job Functions:

    • Leads examinations of low, and medium-low risk and complexity with moderate supervision
    • Conducts and memorializes discovery and risk reviews of low to medium, low and medium-low risk and complexity
    • Completes key trainings and learns to complete work independently
    • Interviews firm personnel with moderate supervision
    • 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

    Associate Principal Examiner – (Grade 46)

    Essential Job Functions:

    • 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.)
    • Identifies exceptions, observations, and other findings
    • Completes key trainings
    • Participates in meetings with firms
    • Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner

    Principal Examiner – (Grade 47)

    Essential Job Functions:

    • 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.)
    • Identifies exceptions, observations, and other findings.
    • Completes key trainings
    • Participates in meetings with firms
    • Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner

    Examiner – (Grade 44)

    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
    • Minimal securities, compliance, or financial regulatory experience

    Knowledge Requirements:

    • Basic knowledge of FINRA's risk fundamentals
    • Basic knowledge of securities rules and regulations
    • Basic knowledge of firm business models, business lines, customer bases, products, and services
    • Basic 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 low degree of complexity through verbal and written communications

    Senior Examiner – (Grade 45)

    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:

    • Basic-to-intermediate or Functional knowledge of FINRA's risk fundamentals
    • Basic-to-intermediate or Functional knowledge of securities rules and regulations
    • Basic-to-intermediate or Functional knowledge of firm business models, business lines, customer bases, products and services
    • Basic-to-intermediate or Functional 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 low to moderate degree of complexity through verbal and written communications
    • Basic-to-intermediate 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 manage time effectively and complete assignments within budgeted timeframes, while learning to work independently
    • Beginning to recognize and understand the relationship and impact between different regulatory areas

    Associate Principal Examiner – (Grade 46)

    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
    • Experience is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity

    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

    Principal Examiner – (Grade 47)

    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
    • Advanced securities, compliance, or financial regulatory experience
    • Advanced knowledge is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity.

    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

    Grade 44For 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 of $63,600, Maximum of $122,300Washington, DC: Minimum of $66,100, Maximum of $117,100Colorado/Hawaii: Minimum of $57,500, Maximum of $101,900
    New York, NY: Minimum of $69,000, Maximum of $122,300
    Washington St: Minimum of $57,500, Maximum of $117,100Grade 45For 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 of $73,000, Maximum of $141,900Washington, DC: Minimum of $76,200, Maximum of $136,000Colorado/Hawaii: Minimum of $66,200, Maximum of $118,200
    New York, NY: Minimum of $79,400, Maximum of $141,900Washington St: Minimum of $66,200, Maximum of $136,000Grade 46For 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 of $84,500, Maximum of $165,100Washington, DC: Minimum of $88,400, Maximum of $158,200
    Colorado/Hawaii: Minimum of $76,800, Maximum of $137,500
    New York, NY: Minimum of $92,200, Maximum of $165,100
    Washington St: Minimum of $76,800, Maximum of $158,200Grade 47For 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 $98,400, Maximum Salary $193,400Washington, DC: Minimum of $102,800 Maximum of $185,300Colorado/Hawaii: Minimum Salary $89,400, Maximum Salary $161,200New York, NY: Minimum Salary $107,200, Maximum Salary $193,400Washington: Minimum Salary $89,400, Maximum Salary $185,300

    LI-DNI

    #LI-Hybrid


    We have other current jobs related to this field that you can find below


  • The Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) ju ...


  • The Senior Principal Analyst of the Strategic Metrics & Reporting ("Metrics") team in FINRA's Department of Enforcement is responsible for performing a wide variety of tasks in support of establishing and maintaining controls related to Enforcement's production of internal and ex ...


  • finra Woodbridge Township, United States Full time

    Are you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass? · As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sits at the nexus of broker-dealer ...


  • finra Woodbridge Township, United States Full time

    Examinations – Business Conduct – Member Supervision · Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks. Grow your career by leveraging your finan ...


  • Citizens Iselin, United States

    Job Description · Description · If you're passionate about a career in Wealth Management, Citizens Securities, Inc. is hiring for the Investment Assistant II role. Citizens Securities, Inc. is a high-quality investment services provider, focused on helping clients reach their sho ...


  • M&T Bank Iselin, United States

    Overview: · Lead Compliance Risk Management activities throughout the enterprise for their assigned area of responsibility. The Senior Compliance Advisor will help develop, implement, and execute strategy of the workflow and performance of personnel to ensure processes are compl ...


  • Financial Advisor, Edison, NJ · Edison, United States of America · Achieve and exceed both individual and branch related sales and revenue goals as defined on a quarterly basis · Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associa ...


  • Financial Advisor, Edison, NJ page is loaded · Financial Advisor, Edison, NJ · Apply · locations · Edison · time type · Full time · posted on · Posted 30+ Days Ago · job requisition id · Req · Financial Advisor, Edison, NJCountry: United States of America · WHAT YOU W ...


  • A broker dealer located in Midtown Manhattan looking to bring on board a "Senior Compliance Officer Branch Inspections Team" to join their team. This role is currently in a hybrid schedule (3 days in office / week). · Responsibilities: · • Conduct Branch Office Inspections both r ...


  • Venusgeo Solutions New York, United States

    Role: Business Analyst-(investment banking experience ) · Location: New York, NY (Onsite) · Job Requirements · years experience with broker-dealer firms · Techno domain skills (background in technology projects, IT experience). Ability to get into some level of technical requirem ...


  • Broker-Dealer Regulatory Reporting (Temp to Perm) · New York, NY · Overview: · A broker-dealer investment bank is seeking a Regulatory Reporting candidate, initially on a temporary basis with the potential for permanent placement. · Candidates should have 1-5 years of relevant ex ...

  • Optima Partners

    Senior Associate

    2 weeks ago


    Optima Partners New York, United States

    Optima Partners is searching for an Associate Consultant to assist clients with regulatory compliance matters within the asset management industry, including hedge funds, private equity, venture capital, real estate, and more. · Desired Qualifications: · Manage a diverse client p ...


  • DETAILS: · Domain: Banking · Position: Regulatory Project Manager · Duration: 5 Months (Possibility of extension or conversion) · Location: New York City, NY (Hybrid – 3 Days/ Week Onsite) · Job Purpose · Read proposed and finalized SEC, CFTC FRB, FINRA etc. rules, create executi ...


  • Safra National Bank New York, United States

    VP, International Security Settlements · About Safra Securities LLC · Safra Securities ("SSL"), a U.S Registered Broker-Dealer with operations since 2000 and is a self-clearing Broker-Dealer since 2016. SSL is member of the Financial Industry Regulatory Authority ("FINRA"), the ...


  • Project Manager - Regulatory Reporting · NYC, NY (Hybrid) · 6 Months Contract (Possible extension or Hire) · W2 only no C2C · Qualifications and skills: · 1. Read proposed and finalized SEC, CFTC FRB, FINRA etc. rules, create executive summaries and assess the implications of the ...


  • To conduct risk-based examinations of FINRA member firms and registered representatives. · Essential Job Functions: Leads examinations of low, and medium-low risk and complexity with moderate supervision · Conducts and memorializes discovery and risk reviews of low to medium, l ...

  • FINRA

    Lead Developer

    1 week ago


    The Lead Developer, working independently, will develop, test, debug and document software components commensurate with their experience as well as direct development staff in support of a software engineering effort. · Required Technical Skills & Knowledge · Strong system desi ...


  • 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 excitin ...


  • The Principal Analyst has demonstrated a highly proficient level of competence in identifying risks, developing regulatory strategies to address those risks, and working with internal and external constituents to achieve the goals of the department. Essential Job Functions: · Lea ...


  • Provide investigative and legal support to the Enforcement Centers. · Essential Job Functions: Perform legal research for staff attorneys. · Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer ...