Financial Industry Regulatory Authority, Inc. Examiner - Market Regulation - TFCE Equities - Chicago, IL in Chicago, Illinois

Title: Examiner - Market Regulation - TFCE Equities - Chicago, IL Location: null Other Locations: null

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The Financial Industry Regulatory Authority (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 career site at www.finra.org/careers - no phone calls, please.

Job Summary:

A TFCE Equities Examiner conducts examinations of member firms subject to relevant rules and regulations enforced by FINRA across multiple equities exchanges. The candidate will review for unusual market activity by collecting and analyzing data received from external and internal resources. The main focus of these examinations is compliance with equities trading and supervisory rules and requirements.

Position may be filled at various levels depending on experience and job skills of a successful candidate. Essential Job Functions:

Reviews trading activity, systems and supervisory policies and procedures to determine compliance with federal, FINRA and other SRO’s rules and regulations.

Compiles and organizes information from a variety of sources to be used in the development of examinations or investigations of potential egregious activity.

Creates electronic work papers to evidence scope of examination and the accuracy of findings.

Develops a thorough understanding of the examination and investigative techniques utilized in the respective area of primary responsibility and relevant rules and regulations enforced by FINRA.

Presents findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.

Utilizes computer resources and software applications for data analysis pursuant to review procedures.

Interfaces with member firm personnel, peers, management and others and provides excellent internal/external assistance in specialized area of regulatory responsibility.

Education/Experience Requirements:

Previous employment in the financial industry with experience in one or more of the following areas: securities, commodities or banking regulatory compliance and/or securities or commodities futures trading, accounting, auditing, and investigations with experience in: equities analytical research, examinations, auditing, trading, back-office, or retail securities/Series 7 experience.

Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry. Work experience in the equities area is preferred.

Working knowledge of securities markets, combined with a good working knowledge of the broader financial analysis.

Highly organized with strong and proven analytical skills including application of quantitative and qualitative analysis.

Excellent verbal and written communication skills in order to present examination or investigative findings to management and other relevant parties.

Self-motivated, inquisitive and the ability to complete work assignments and projects both independently and as a member of a team.

Proven PC skills within the work environment that includes frequent use of Microsoft Word and Excel. Experience with web-based applications is strongly preferred.

A minimum of three to five years of directly related experience. Substantial knowledge of relevant rules and regulations enforced by FINRA. Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews. Ability to initiate and complete quality reviews. Competence using a desktop computer with the full suite of office software applications.

Working Conditions:

Ability to work under pressure.
Attention to detail is essential.
Strong verbal and written communication skills and technical capabilities are essential to position.
Some travel may be required.

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. 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