Examiner - Member Regulation, Sales Practice

  • Competitive
  • San Francisco, CA, USA
  • Permanent, Full time
  • FINRA
  • 22 Sep 16

We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well qualified individual for our Examiner opening in San Francisco, CA. To be considered for this position, please submit your resume through our careers site-no phone calls, please.

Job Summary:


The Examiner is responsible for identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals of the strategies. The Examiner provides advice to staff and definitive determinations with regard to decisions concerning his/her respective area(s) of competence.  This is a senior-level professional position leading teams, mentoring, sharing knowledge and advising staff, and working under minimal supervision.

             

Essential Job Function:

 

  • Lead or participate in, and provide guidance and advice with regard to high risk examinations, special national projects, sweeps and task forces.  The Examiner possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.  This activity may be conducted either in the field or in the office. 

  • Proactively identify notable trends in industry practices, products and procedures.

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

  • Demonstrate strong critical thinking, interviewing, research and quantitative skills. 

  • Possess a proficient level of knowledge of securities products, activities of member firms and the industry.

  • Assist other examiners on discovery/risk reviews and examination reports.

  • Actively lead and participate in meetings on firms and/or examinations with minimal supervision. 

  • Lead classroom instruction on technical matters for the examination staff. 

  • Proactively identify ideas for in-house training.

  • Participate in developing course content and advising the Member Regulation Training unit on technical accuracy of classroom material. 

  • Participate in developing or delivering training courses for all department employees.

  • Serve as a mentor and coach to other staff.

  • Moderate and/or present subject matter material at internal meeting and conferences including, new Examiner trainings or other FINRA training programs.

  • Participate in Peer and/or Quality Reviews for the district, regional or national program.

 

 

Qualifications

 

Education/Experience Requirements:

 

Grade Level 46:

  • Bachelor’s degree or an equivalent combination of education and experience required.  Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/ certifications a plus.        

  • Proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.        

  • Demonstrate proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.        

  • Demonstrate a track record in developing appropriate regulatory responses and/or processes for managing risks.        

  • Excellent oral and written communication and presentation skills.        

  • Possess excellent time management skills.        

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

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

 

Grade Level 47:

  • Bachelor’s degree or an equivalent combination of education and experience required.  Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/certifications a plus. 

  • Highly proficient level of knowledge of business conduct risk and industry practices, securities industry rules, regulations and best practices required.        

  • Demonstrate highly proficient knowledge of risk analysis and proactive risk identification. Possess strong analytical skills.        

  • Demonstrate a track record in developing appropriate regulatory responses and/or processes for managing risks.        

  • Excellent oral and written communication and presentation skills.        

  • Possess excellent time management skills.        

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

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

 

Working Conditions:

  • Work is normally performed in an office environment at FINRA, member firm premises or at various locations.  

  • Overnight travel is required.  

  • Extended hours are frequently required.  

  • 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 www.finra.org/careers  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.