FINRA – Associate Examiner

Job Opportunity

Job# 006135 – Associate Examiner – Member Regulation, Sales Practice – New York, NY

We Work to Protect Investors. Join our Team.

Those who Graduate in May – July 2018

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Associate Examiner opening in New York, NY. To be considered for this position, please submit your resume through our careers site at  HYPERLINK “” – no phone calls, please.

Job Summary:

The Associate Examiner is responsible for identifying risks, developing regulatory strategies to address those risks and works in a team environment to achieve the stated goals.  The Associate Examiner provides input to staff with regard to his/her respective area(s) of competence.  This is an entry-level professional position sharing knowledge, developing and refining skills, and working under direct supervision and guidance.

Essential Job Functions:
Participate in examinations, sweeps and task forces as assigned.  The Associate Examiner possesses a basic level of knowledge of relevant rules, regulations, guidelines and industry practices.  This activity may be conducted either in the field or in the office.
Proactively identify notable trends in industry practices, products and procedures.
Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner.
Demonstrate proficient critical thinking, research and quantitative skills.
Possess a basic level of knowledge of securities products, activities of member firms and the industry.
Participate as a team member on examinations to assist with discovery/risk reviews and examination reports.
Actively participates in meetings on firms and/or examinations with direct supervision and guidance.

Education/Experience Requirements:
Bachelor’s degree or an equivalent combination of education and experience required.
Major in Accounting, Finance, Business Administration, Economics or related field preferred; advanced degree/ certifications a plus.

Working Conditions:
Work is normally performed in an office environment at FINRA, member firm premises or at various locations.
Overnight travel is required.
Extended hours are frequently required.
Work expectations include timely and high quality productivity.