To conduct risk-based examinations of FINRA member firms and registered representatives. 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
Completes key trainings
Participates in meetings with firms
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
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
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
Ability to effectively articulate matters with low degree of complexity through verbal and written communications
Basic critical thinking, research and analytical skills
Familiar with available internal resources
Ability to manage time effectively and complete assignments within budgeted time-frames
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