Examinations – Private Placements– Member Supervision - Any Finra Location at FINRA in Boca Raton, Florida

Job Description:

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 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

Associate Principal Examiner – (Grade 46)

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


• Moderate knowledge of Private Placement Offerings (e.g., Private Equity, REITS, etc.)

Knowledge Requirements: 

• Intermediate knowledge of FINRA's risk fundamentals 


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


• Intermediate knowledge of all major regulatory areas and the associated rule requirements


• Strong knowledge of securities rules and regulations, including FINRA Reg Notice 10-22 “Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings”, Reg Notice 23-08 “FINRA Reminds Members of Their Obligations When Selling Private Placements”, and Regulation Best Interest


• Awareness and understanding of internal policies and protocols

Skill Requirements: 

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


• Advanced critical thinking, research, and analytical skills


• Proficient in utilizing available internal resources


• Ability to manage time effectively and complete assignments within budgeted timeframes


• Ability to identify and prioritize risk

Principal Examiner – (Grade 47)

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


• Advanced securities, compliance, or financial regulatory experience


• Advanced knowledge of Private Placement Offerings (e.g., Private Equity, REITS, etc.)

Knowledge Requirements:

• Advanced knowledge of FINRA's risk fundamentals 


• Advanced knowledge of securities rules and regulations


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


• Advanced knowledge of all major regulatory areas and the associated rule requirements


• Advanced knowledge of securities rules and regulations including FINRA Reg Notice 10-22 “Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings”, Reg Notice 23-08 “FINRA Reminds Members of Their Obligations When Selling Private Placements”, and Regulation Best Interest


• Awareness and understanding of internal policies and protocols

Skill Requirements:

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


• Advanced critical thinking, research, and analytical skills


• Proficient in utilizing available internal resources


• Ability to manage time effectively and complete assignments within budgeted timeframes


• Ability to identify and prioritize risk

Working Conditions:

• Hybrid office environment.


• Periodic overnight travel as needed.

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. 

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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 $94,200, Maximum Salary $176,000

CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600

IL*: Minimum Salary $90,100, Maximum Salary $161,300
Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000

MA/WA: Minimum Salary $81,900, Maximum Salary $168,600

MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NJ State: Minimum Salary $90,100, Maximum $176,000

NY State: Minimum Salary $81,900, Maximum Salary $176,000

*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.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers 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 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 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.

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.

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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