Financial Industry Regulatory Authority, Inc. Examiner, TFCE Treasuries - Market Regulation - New York, NY in New York, New York
Title: Examiner, TFCE Treasuries - Market Regulation - New York, NY 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 New York, NY . To be considered for this position, please submit your resume through our career site at www.finra.org/careers - no phone calls, please.
The Examiner conducts routine reviews of low to moderate complexity in search of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. This is junior-level professional work in which incumbents are developing in their assigned roles, enhancing newly-learned skills, and working under moderate supervision.
Position may be filled at various levels depending on experience and job skills of a successful candidate.
Essential Job Functions:
Continues enhancement of knowledge of the TFCE examinations:
Attending and actively participate in department training Attend internal and/or external seminars when required Demonstrate a strong understanding of the exam process Gain proficiency in generating Advanced Notification Letters (ANLs) Demonstrate proficiency in all TFCE examination areas/reviews, exam procedures, and FINRA/SEC Rules Identify, research, and analyze data independently Conduct lead and/or solo examination of low to moderate complexity Properly document and clearly present examination findings When necessary, assist other TFCE examiners in conducting more complex examinations Effectively and efficiently manage the daily workload to ensure tasks are completed within department/ management time frames: start, complete, and revise assigned exams within the established timeframes (i.e., Exam Checklist) Notify supervisor on a timely basis of any circumstanced that may cause material changes to the projected completion dates or impact the exam cycle Utilize computer resources and software applications for data analysis in the investigative/review process: effectively utilize the resources in conducting routine reviews and investigations, an dif necessary, obtain guidance from more senior staff or management All related activities (time and milestone dates) must be entered accurately, completely and timely in accordance with Department policy Effectively communicate and coordinate with member firms and fellow examiners Demonstrate effective verbal and written communication skills Share knowledge of markets with less experienced staff Conduct effective background/trading desk interviews and exit conferences Prepare and submit well-organized, detailed, and accurate examination reports Periodically update your manager on exam progress Take initiative and request additional assignments when workload permits Work with more experienced staff to further enhance knowledge base
Bachelor’s degree or equivalent work experience in the financial industry demonstrating research/analytical skills Major in Finance, Accounting, Business or related field preferred At least 1-3 years of directed related securities experience required Knowledge of relevant FINRA/SEC rules, regulations and guidelines preferred Knowledge of securities markets, member firm operations, books and records Ability to conduct telephone interviews Ability to initiate and complete quality reviews Excellent written and verbal communication skills required Competence using a desktop computer with the full suite of office software applications preferred
Work is normally performed in an office environment and is often conducted at a member firm Extended hours and overnight travel maybe required Ability to work under pressure Attention to detail is essential Strong verbal and written communication skills and technical capabilities are essential to position
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.
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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.
About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers.
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