Compliance Examiner - Member Regulation, Sales Practice

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry.

Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), and a strong commitment to ensuring that the securities industry operates fairly and honestly.

**Essential Job Functions:** Conducts examinations and other reviews related to FINRA member firms' finances and operations; sales, underwriting and trading practices; and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements. * Analyzes sales practices and investigates customer complaints, terminations for regulatory cause, and activities of broker-dealer personnel to assess fair treatment of customers. * Analyzes internal and supervisory controls in key areas of risk and evaluates broker-dealer systems to determine quality, reliability and compliance with requirements. * Assesses adequacy of member firms' financial condition and validates accuracy of regulatory filings, net capital computations and books and records. * Develops evidence and analysis in support of enforcement actions; conducts or participates in interviews and depositions of customers, member firm personnel and others; partners with enforcement attorneys in development of formal disciplinary actions; and testifies at administrative hearings. * Creates work papers to evidence scope of examination and the accuracy of findings. * Provides comprehensive written and verbal reports to broker-dealer executives and FINRA management, including information relating to regulatory concerns noted during examinations. * Acquires, maintains and continues to develop core skills and knowledge of relevant rules, regulations, and guidelines through completion of FINRA's structured training program, which includes attendance at instructor-led classroom training in Rockville, MD, self-paced learning (print-based and computer-based), and on-the-job training with the support of more experienced examiners or managers. * Candidates may have opportunities to coach and guide less experienced examiners. * May participate in special projects and initiatives.

**Education/Experience Requirements:** * Bachelor's degree in Finance, Accounting, Business Administration or an equivalent combination of education and experience. * Directly related experience in a securities, finance, regulatory or auditing role is highly preferred. Knowledge of FINRA and SEC rules and regulations is a plus. * Excellent interpersonal, written and verbal communication skills and competence with office software applications are essential. * The specific grade level for a successful candidate will be determined based on FINRA's assessment level of supervision and guidance required by the candidate; level of expertise in securities products, practices, rules and regulations; and level of ability to independently conduct complex work in a quality manner. **Working Conditions:** * Work is normally performed in an office environment, at FINRA premises or at member firms' offices. Extended hours are frequently required. Overnight travel (up to 45% per year, plus up to an additional four (4) weeks during the first year of employment to attend FINRA's training program) is required. FINRA examiners work in a team environment, with opportunities to interact with broker-dealer and FINRA senior managers.