at FINRA in Chicago, Illinois, United States
Job Description
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, 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
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 time-frames
- Ability to identify and prioritize risk
- Ability to manage time effectively and complete assignments within budgeted time-frames, while learning to work independently
- Beginning to recognize and understand the relationship and impact between different regulatory areas
For work that is performed in CA, Washington, DC, CO, HI, New York, NY, WA and MD 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 candidates skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum of $78,900, Maximum Salary $146,900
Washington, DC/Maryland: Minimum Salary $78,900, Maximum Salary $140,800
Colorado/Hawaii: Minimum Salary $68,500, Maximum Salary $122,300
New York, NY: Minimum Salary $82,200, Maximum Salary $146,900
Washington State: Minimum Salary $68,500, Maximum Salary $140,800
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Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
