FINRA is seeking a well qualified individual for our Examiner opening in Chicago, IL. To be considered for this position, please submit your resume through our careers site. No phone calls please.
Job Summary:
Conducts on-site examinations and assesses member firms' financial and operational conditions and compliance with securities rules and regulations.
Essential Job Functions:
Examines member firms' books and records to verify that activities are properly recorded and are in compliance with customer protection and other applicable rules and regulations.
Interacts with firm personnel in areas such as operations, trading, compliance, risk management and regulatory reporting and reviews the records prepared in each area including the net capital and reserve formula computations.
Analyzes internal controls in key areas of risk and evaluates systems used by member firms to determine quality and reliability.
Reviews trading floor activities of member firms to ensure compliance with SRO and SEC rules and regulations.
Prepares written reports and conducts exit interviews to provide member firms with information on regulatory concerns noted during exams.
Works in a team environment, with opportunities to supervise others and interact with senior member firm and FINRA personnel.
Additional Essential Job Functions for the Associate Principal Examiner Include:
Examines and analyzes financial, operational and sales practice compliance of member organizations.
Communicates findings and related issues to senior management of the members and member organizations, NYSE and other regulatory agencies, both verbally and in written correspondence.
Participates in the development and of educational programs on regulatory matters.
Makes recommendations to Unit management for enhancements to examination scopes.
Represents the Unit/Division on committees on internal projects.
Additional Essential Job Functions for the Principal Examiner Include:
Prepares final examination reports and conduct exit interviews to provide members and member organizations with information to take corrective action.
Evaluates systems used by members/member organizations to determine quality and reliability.
Analyzes and evaluates new products to determine compliance with established rules and regulations.
Supervises and provides guidance, training and technical support to examiners; evaluate examination team and act as liaison with Examination Directors and office staff.
Works in a team environment, with opportunities to supervise others and interact with senior member firm and FINRA personnel.
Reviews examination work papers and report to determine the quality and accuracy of examination findings.
Manages multiple assignments where appropriate to assist the division in meeting its goals.
