Examinations – Private Placements– Member Supervision - Any Finra Location

Mission-driven, Mission-delivered.

FINRA aims to make an impact.

Apply now for an exciting opportunity to join our Firm Examinations Team, focusing on Business Conduct risks associated with Private Placement offerings.

Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms.
Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of our member firms.

We take a risk-based approach to our oversight, with the goal of detecting, deterring, or addressing activities that may cause investor harm or adversely impact the integrity of our markets.
Depending on the type of firm and our assessment of the risk, we generally examine firms on a one, two or four-year frequency; at a minimum, every firm is examined at least once every four years.

We examine firms for compliance with FINRA rules, federal securities laws and regulations, and, when applicable, exchanges’ rules.

Areas of review can include Supervision, Regulation Best Interest, Trade Reporting, Anti-Money Laundering, Communications with the Public, Net Capital, etc.
We classify each member firm by primary business model into one of four Firm Groups:
• Retail;
• Diversified, Carrying and Clearing;
• Capital Markets; and
• Trading and Execution.
Each of these Firm Groups has dedicated FINRA staff with knowledge in regulating risks specific to those business models.

Your application will be considered for a position within one of our four Firm Groups.
Utilizing your analytical skills, you can be on the front lines of FINRA’s Mission to protect investors and the integrity of the markets.

We have various levels of Examination Positions open.

See below and apply to be considered.

Associate Principal Examiner – (Grade 46) 

Essential Job Functions:


* Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision


* Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity


* Conducts investigations of Registered Representative sales specific to Private Placement Offerings to Retail Investors


* Serves as mentor to junior staff


* 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


* Stays up to date on Private Placement industry trends and conveys key intelligence to Senior Leadership


* Completes key trainings


* Participates in meetings with firms


* Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner

Principal Examiner – (Grade 47)

Essential Job ...