The Associate Principal Examiner has demonstrated a proficient
level of competence in identifying risks, developing regulatory
strategies to address those risks and managing teams to achieve the
goals of the strategies. The Associate Principal Examiner provides
advice to staff and definitive determinations with regard to
decisions concerning his/her respective area(s) of competence. This
is a senior-level professional position leading teams, mentoring,
sharing knowledge and advising staff, and working under minimal
Essential Job Functions:
- Lead or participate in, and provide guidance and advice with
regard to complex, novel, unique or high risk applications form
membership and other membership matter types. The Associate
Principal Examiner possesses a proficient level of knowledge of
relevant rules, regulations, guidelines and industry
- 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 issue spotting, strong critical
thinking, interviewing, research and quantitative skills.
- Possess a proficient level of knowledge of securities products,
activities of member firms and the industry.
- Assist other examiners with the analysis of applications that
may be complex, novel, unique or high risk.
- Ensures that applications and other matters are executed
efficiently, with high quality, and in a timely manner.
- Actively lead and participate in meetings with member firms,
consultants, attorney's and district office staff with with minimal
- Lead classroom instruction on technical matters for the
- Proactively identify ideas for in-house training.
- Participate in developing course content and advising the
Member Regulation Training unit on technical accuracy of classroom
material. Participate in developing or delivering training courses
for all department employees.
- Serve as a mentor and coach to other staff.
- Moderate and/or present subject matter material at internal
meeting and conferences including, new Examiner trainings or other
FINRA training programs. .
- Participate in Peer and/or Quality Reviews for the district,
regional or national program.
- Bachelor's degree or an equivalent combination of education and
experience required. Finance, Business Administration, Economics or
related field preferred; advanced degree/ certifications a
- Proficient level of knowledge of business conduct risk and
industry practices, securities industry rules, regulations and best
- Demonstrate proficient knowledge of risk analysis and proactive
risk identification. Possess strong analytical skills.
- Demonstrate a track record in developing appropriate regulatory
responses and/or processes for managing risks.
- Excellent oral and written communication and presentation
- Possess excellent time management skills.
- Minimum of five years of securities, compliance or financial
- Exemplify the FINRA Leadership Characteristics and serve as a
role model for staff in the department.
- Work is normally performed in an office environment at
- Extended hours are frequently required.
- Work expectations include timely and high quality
To be considered for this position, please submit an
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
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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.
In addition to a competitive salary, comprehensive health and
welfare benefits, and incentive compensation, 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.
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
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
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.
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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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