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Senior Principal Examiner, Retail

Company: Financial Industry Regulatory Authority, Inc.
Location: Boca Raton
Posted on: November 18, 2021

Job Description:

To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: * Independently leads and/or participates in High Impact/High Risk exams or complex reviews within assigned Firm Grouping or across Firm Groupings, based on need and area(s) of expertise. * Regularly advises and/or assists Exam teams on reviews (regardless of Impact/Risk Level), within assigned Firm Grouping or across Firm Groupings based on need and area(s) of expertise. * Interviews firm personnel independently * 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.) * Identifies exceptions, observations, and other findings and proactively escalates potential formal issues to management. * Proactively identifies notable and emerging trends, leads projects, and sets guidelines as it relates to Firm Groupings/Sub-Groupings, area(s) of expertise, or FINRA initiatives. * Regularly leads or co-leads Initiatives, Special or Regulatory Projects to enhance consistency, compliance with policies and procedures and otherwise supports the management team across Firm Groupings. * Proactively identifies, develops and/or delivers training to Examination and Risk Monitoring staff across Firm Groupings based on need and area(s) of expertise. * Develops and/or delivers training in areas of priorities identified by Firm Group leadership and Firm Exam Program management. * Regularly trains/shadows less experienced staff executing reviews regardless of formal Mentor/Mentee relationship. * Conducts first level reviews of exit meeting and exam reports on exams that they are leading * At the discretion of L49 (or above), conducts Level 48 Management reviews and approvals and provides underlying exam related feedback to examiners. * At the discretion of L49 (or above), represents Examination Team at Collaborative Consultations. 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 preferred * Significant securities, compliance or financial regulatory experience Knowledge Requirements: * Advanced-to-Expert knowledge of applicable FINRA risk fundamentals * Advanced-to-Expert knowledge of applicable securities rules and regulations * Advanced-to-Expert knowledge of applicable firm business models, business lines, customer bases, products and services * Advanced-to-Expert knowledge of applicable regulatory areas and the associated rule requirements * Awareness and understanding of internal policies and protocols Skill Requirements: * Consistently and effectively articulates matters with highest degree of complexity through verbal and written communications * Expert critical thinking, research and analytical skills * Proficient in utilizing available internal resources * Consistently manages time effectively and completes assignments within budgeted time frames * Advanced ability to identify and prioritize risk * Consistently works independently with limited supervision * Advanced-to-Expert ability to recognize and understand the relationship and impact between different regulatory areas * Maintains a specialized skill set in an area not covered by a specialist team * Models and promotes collaboration and teamwork * Sound interpersonal skills to effectively lead teams and interact with member firms Compensation Range for Colorado locations Annual Salary: $98,500.00 - $178,700.00 To be considered for this position, please submit an application. 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 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. Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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. You can read more about these restrictions here. 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. Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person's relatives, friends or associates. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. --2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Keywords: Financial Industry Regulatory Authority, Inc., Boca Raton , Senior Principal Examiner, Retail, Accounting, Auditing , Boca Raton, Florida

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