Associate Principal Examiner, TSG - All FINRA Locations at FINRA in New York, New York

Job Description:

To conduct risk-based examinations of FINRA member firms and registered representatives

Essential Job Functions:

• Execute and advise on Alternative Trading System (ATS) and Market Access Rule (SEC Rule 15c3-5) reviews in examinations of medium to high risk and/or complex trading firms with moderate supervision.


• Demonstrate an understating of an ATS’s controls, order matching and execution systems, and order lifecycles in connection with its ATS activities.


• Demonstrate an understating of a firm’s trading activity, financial and regulatory risk management controls, order and execution management systems, and order lifecycles in connection with its Market Access activities.


• Evaluate firms’ compliance with all relevant components of SEC Regulation ATS, including Form ATS, ATS-N and ATS-R disclosure obligations, safeguarding of customer information, order display fees and fair access, general supervision and associated regulatory obligations (Trading halts, transaction reporting, record keeping obligations, etc.).  


• Evaluate firms’ pre-trade financial, erroneous and regulatory risk management controls to assess compliance with SEC Rule 15c3-5 in equity, options, fixed income and/or other SEC regulated products transacted on a Market Center.


• Gather and critically analyze trading records and other relevant data provided by firms in response to tailored requests for information.


• Compile concise written summaries that clearly support the findings and conclusions of the review, including the information obtained, analysis performed and any exceptions identified.


• Act as a Trading Specialist resource for others at FINRA including, but not be limited to, mentoring examiners, assessing trading risks and advising on examinations. 


• Independently conduct background interviews and maintain ongoing discussions with relevant firm personnel.


• Utilize internal FINRA systems and data resources to validate data and assess the reasonability of a firm’s trading controls. 


• Gather and incorporate pertinent regulatory intelligence using internal FINRA systems and data resources.


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

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 a plus.


• Moderate securities, compliance or financial regulatory experience

Knowledge Requirements:

• Intermediate knowledge of FINRA's risk fundamentals


• Intermediate knowledge of securities rules and regulations


• Intermediate knowledge of firm business models, business lines, customer bases, products and services


• Intermediate knowledge of major review areas and the associated rule requirements


• Awareness and understanding of internal policies and protocols

Skill Requirements:

• Ability to effectively articulate matters with moderate degree of complexity through verbal and written communications


• Intermediate critical thinking, research and analytical skills


• Proficient in utilizing available internal resources


• Ability to manage time effectively and complete assignments within budgeted time-frames


• Ability to identify and prioritize risk


• Ability to work independently with moderate supervision


• Ability to recognize and understand the relationship and impact between different regulatory areas

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

WA: Minimum Salary $92,500, Maximum Salary $191,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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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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 Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

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.

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