Job Description
Examination Manager -Trading Specialist Apply Logo
locations Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting)
locations Boston, MA (Job Posting) Boca Raton, FL (Job Posting) Woodbridge, NJ (Job Posting) Washington, DC (Job Posting) Chicago (North Wacker Drive) San Francisco, CA (Job Posting) Rockville, MD (Job Posting) Philadelphia, PA (Job Posting) New York, NY (Job Posting) Los Angeles, CA (Job Posting)
time type Full time
posted on Posted Today
job requisition id R-008904
To ensure completion of risk-based examinations of FINRA member firms and registered representatives
Essential Job Functions:
Manage 4 to 6 Examination staff Manage direct reports’ performance on an ongoing basis Schedule and staff exams Review and approve risk and risk identification reviews; execute reviews as needed Review and approve exam-related work, reports and letters (i.e. strategy, exit, exam, disposition, etc.) Empower direct reports to make decisions relating to the completion of reviews appropriate for their level and expertise Train and mentor exam staff and direct reports Promote open dialogue and communicate key issues to staff and senior management
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. MBA, JD, other graduate degree and/or relevant industry certification(s) preferred Significant securities, compliance or financial regulatory experience Moderate experience managing projects and/or people
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 rule changes and interpretations Advanced knowledge of industry wide events and trends affecting FINRA's exam program Advanced knowledge of FINRA departments and their mandates
Skill Requirements:
Proficient in utilizing available resources Advanced ability to recognize and understand the relationship and impact between regulatory areas Advanced ability to manage time effectively and complete examinations within the budgeted time frames Advanced ability to effectively liaise with internal and external parties Advanced ability to identify and prioritize risk Advanced ability to inspire and motivate direct reports Advanced relationship building skills Advanced ability to make timely decisions
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 $124,300, Maximum Salary $235,500
CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200
IL*: Minimum Salary $119,200, Maximum Salary $215,900 Jersey City, NJ/NYC, NY: Minimum Salary $129,800, Maximum Salary $235,500
MA/WA: Minimum Salary $108,200, Maximum Salary $225,700
MD/Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700
NJ: Minimum Salary $119,200, Maximum $235,500
NY: Minimum Salary $108,200, Maximum Salary $235,500
*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 **MEMBERS ONLY**SIGN UP NOW***
#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 **MEMBERS ONLY**SIGN UP NOW***into your browser to reach our site directly.
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 **MEMBERS ONLY**SIGN UP NOW*** 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 **MEMBERS ONLY**SIGN UP NOW*** 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 **MEMBERS ONLY**SIGN UP NOW***
