Home 
How Blumble Works 
Search Algorithm 
Your Privacy 
About 
Facebook
Twitter
Blog
https://finra.org
Financial Industry Regulatory Authority
Most recent job postings at Financial Industry Regulatory Authority
via Workday
posted_at: 8 days agoschedule_type: Full-timework_from_home: 1
The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that ensure applications and projects meet defined quality standards. Essential Job Functions: Apply established and ad hoc processes and techniques to identify, validate, prioritize, and track security risks. Identify uncontrolled risks and recommend control... improvements. Proactively identify security requirement
The Senior Security Engineer works under minimal supervision and will perform information security tasks commensurate with their experience that ensure applications and projects meet defined quality standards. Essential Job Functions: Apply established and ad hoc processes and techniques to identify, validate, prioritize, and track security risks. Identify uncontrolled risks and recommend control... improvements. Proactively identify security requirement deficiencies. Engage business and technology personnel to elicit security requirements. Architect and design security control systems to address requirements. Operate and monitor established security controls. Identify control deficiencies and make appropriate recommendations. Ensure that controls are operating effectively; resolve operating discrepancies. Review, triage, and prioritize control output. Take appropriate action to resolve security discrepancies. Identify, evaluate, and recommend new security technologies, techniques, and tools. Define, review, and promote information security policies, standards, guidelines, and procedures. As compliance subject matter expert, enforce and monitor compliance with internal and external regulations, policies, and standards. Establish and promote strategies to ensure that compliance is effectively monitored and enforced. Lead/Co-lead internal process improvement initiatives. Provide feedback on processes by offering suggestions. Mentor and supervise junior staff in project-level tasks. Assist with adherence to technology policies and comply with all security controls. Ensure all work products meets /exceeds FINRA standards. Education/Experience Bachelor’s degree in Computer Science, Information Systems or related discipline with at least five (5) years of related experience, or equivalent training and/or work experience. Experience must include direct experience in several of the key areas listed: securing networks and systems architecture, design and implementation, secure software assurance, intrusion detection, defense and incident response, security configuration management, access controls design and implementation and security policy and standards development. In-depth knowledge of one or more communications protocols. Experience with more than one Cyber Security tools, including: Configuration Assessment, Log Aggregation, Integrity Verification, Web Application Security Testing, Network Access Control System, Network Intrusion prevention systems, and Endpoint Security Solutions. Strong written and verbal technical communication skills. Demonstrated ability to develop effective working relationships that improved the quality of work products. Should be well organized, thorough, and able to handle competing priorities. Ability to maintain focus and develop proficiency in new skills rapidly. Ability to work in a fast paced environment. In-depth knowledge of more than one Information Security principle and discipline. Work Conditions: Work is normally performed in an office environment. Occasional travel and extended hours may be required. For work that is performed in CA, CO, New York, NY 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. California: Minimum Salary $95,500, Maximum Salary $187,800 Colorado: Minimum Salary $86,800, Maximum Salary $156,500 New York, NY: Minimum Salary $104,100, Maximum Salary $187,800 Washington: Minimum Salary $86,800, Maximum Salary $179,900 #LI-DNI To be considered for this position, please submit an application. 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 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 (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. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers
Show more details...
via Workday
posted_at: 1 month agoschedule_type: Full-timework_from_home: 1
FINRA is looking for a Senior Director, Technology to lead a large digital product portfolio that aligns to our People Solutions (Human Resources), Corporate Finance, and Revenue Management organizations. The Senior Director, Technology leads a cross-functional technology team (typically 50+ staff) responsible for supporting a portfolio of enterprise applications. This role works with a high level of autonomy and discretion and typically reports to
FINRA is looking for a Senior Director, Technology to lead a large digital product portfolio that aligns to our People Solutions (Human Resources), Corporate Finance, and Revenue Management organizations. The Senior Director, Technology leads a cross-functional technology team (typically 50+ staff) responsible for supporting a portfolio of enterprise applications. This role works with a high level of autonomy and discretion and typically reports to a Vice President. This role takes overall ownership over strategy, execution, and delivery and drives results by inspiring a positive, high-energy, result-oriented culture across the team. This role works closely with business stakeholders, engineering, architecture, UI/UX, finance and other functions to launch products and enhance our existing products and processes. The Sr. Director, Technology is accountable for succeeding against identified business outcomes and metrics, sets and manages the budget and financials and sets quarterly key... performance indicators. This individual manages people which includes responsibility for setting individual and team expectations, delegating assignments and managing performance, identifying talent needs, and coaching and developing team members. Essential Job Functions: Process and Operations Experience with Workday HCM or Finance implementation is preferred. Collaborates with senior management throughout the company to ensure cross-functional ownership of Workday and related technologies and facilitates a common vision and roadmap for such technologies to meet business needs and IT requirements. Responsible for overseeing the continuous improvement of Workday implementation and other corporate systems for multiple functional areas within the organization. Assesses high-level business/functional requirements across many stakeholders and assigns work to subordinate leaders, coordinates complex upgrades and/or enhancements of Workday and related technologies that meet company needs. Experience managing other SaaS/COTS packages and integrations with Workday. Working independently, establishes organizational policies, goals, objectives, and strategies that drive to measurable results. Directs and coordinates organization's financial and budget activities to fund operations, maximize investments, and increase efficiency. Develops constructive and cooperative working relationships with peers both within and outside of Technology and maintain them over time. Establishes and maintains external relationships with strategic product/service vendors, FINRA clients/customers, FINRA regulators, industry forums (government & private councils, standards bodies, product forums, etc.), as appropriate. Establishes, evolves, and ensures compliance with standard practices and processes within the disciplines. Assists with adherence to technology policies and comply with all security controls. Ensures all work products meet/exceed FINRA standards. Participates in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting. Collaborates with stakeholders across multiple business areas and functions to understand business opportunities, prioritize demand, and identify/implement supporting application capability. Identifies new and innovative methods and metrics for tracking product success, works with the technology team to improve reports and monitoring Builds and maintains relationships with key industry thought leaders to improve vision and improve product success People Management Demonstrates ability to attract senior talent and multiple functions from inside and outside of FINRA Teaches others how to determine performance bar Facilitates understanding of broader organizational tenets and strategic goals for organization Effectively coaches and gives feedback to direct reports to help develop talent and support career development Works with cross-functional leaders and experts to establish best practices and identify opportunities to improve the product development and delivery process Recognizes trends for larger-scale development needs within and across teams and builds plans to develop skills Shares talent development best practices across organization Audits team goals to ensure alignment with broader organizational goals, is accountable for team performance against goals Sets and balances goals across team to optimize performance against organization goals and employee development Sets high performance standards for team Plans and advocates for team resources People Strategy Develops and communicates team vision that supports the broader organizational vision Ensures team culture consistently demonstrates alignment with FINRA values and behaviors Identifies talent needs to enable execution of product strategy Portfolio Management Owns annual planning for portfolio and represents team in discussions with senior executives Works with Product Managers to develop and manage the long-term (3-5 year) view of the product portfolio, making trade-off decisions on multiple products and product groups Demonstrates expertise across multiple product groups and understands company-wide assets which facilitates discovery and drives enterprise capabilities Builds working relationships with stakeholders and teams across FINRA to drive improved synergies and efficiencies within the portfolio Builds and leverages solid working relationships with business and product stakeholders, UI/UX, architecture, and technology teams to facilitate product and user success Establishes sound program and project management practices to ensure consistently reliable delivery Able to facilitate and maintain beneficial relationships between FINRA and all vendors/partners. Able to negotiate best terms and outcomes in vendor contracts, creating standards for vendors that are best able to meet project and operational milestones in FINRA’s interests. Expertise in bringing best of breed SaaS applications together in a cohesive manner for the organization and ability to integrate line of business applications into the enterprise data fabric with reporting solutions such as Power BI or similar. Education/Experience Requirements: Bachelor’s Degree in Computer Science, Engineering, or related field (or equivalent work experience in a related field) 7 years of leadership experience with direct report responsibility, with demonstrated ability to scale over time 5 years of leadership experience with responsibility for delivering both custom developed software and SaaS/COTS solutions Strong writing ability Strong business acumen Experience with Agile software development Experience working cross-functionally in a large organization Experience working closely with senior leadership Experience translating data into quantifiable actions/deliverables Preferred Requirements: Master’s Degree in Business Administration or similar advanced degree Experience with Adaptive Planning Experience with Workday HCM or Workday Finance including 2+ Workday implementations Experience with Human Resources business processes Experience with Finance business processes Agile certifications – CSM, CSPO, CSP, SAFE Experience with AWS, Cloud Architecture, Software Development Strong financial acumen Experience collaborating closely with senior leadership up to and including C-level executives Experience providing guidance and direction to cross-functional resources Working Conditions: In general, work location is flexible and may be performed in an office environment or virtually Some in-office work is required Some Travel required (generally less than 3 days per month) Extended hours may be required #LI-Hybrid To be considered for this position, please submit an application. 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 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 (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. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers
Show more details...
via FINRA - Talentify
schedule_type: Full-timesalary: 188K a year
The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters.
• Execute an effective risk-based legal strategy to assess the record fairly.
• Collaborate with investigative staff to plan investigations and fully develop the record...
• Research and identify the legal requirements for charges.
• Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal
The Enforcement Counsel performs rigorous assessment and effective advocacy in Enforcement matters.
• Execute an effective risk-based legal strategy to assess the record fairly.
• Collaborate with investigative staff to plan investigations and fully develop the record...
• Research and identify the legal requirements for charges.
• Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
• Advance settlement discussions with respondents.
• Conduct litigation preparation and contribute meaningfully to litigation, including by conducting witness examinations.
• Draft clear and organized analysis, and effective advocacy documents.
• Plan for and conduct effective on-the-record testimony of witnesses
• Draft settlement documents.
• Collaborate effectively with other Enforcement attorneys, including within teams handling complex matters.
• Collaborate effectively with other FINRA departments.
• Prioritize matters based on risk.
• Collaborate effectively with managers and incorporate feedback into planning and execution.
Education/Experience
• Law degree and admission to the bar.
• A minimum of four years relevant legal experience in a regulatory or legal environment.
• Excellent oral and written communication and litigation skills.
• Excellent interpersonal skills.
Work Conditions
• Work outside of business hours and overnight travel may be required.
The salary for this position if the work is performed in New York, New York is a minimum of $104,100 annually to a maximum of $187,800 annually 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.
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
• Execute an effective risk-based legal strategy to assess the record fairly.
• Collaborate with investigative staff to plan investigations and fully develop the record...
• Research and identify the legal requirements for charges.
• Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
• Advance settlement discussions with respondents.
• Conduct litigation preparation and contribute meaningfully to litigation, including by conducting witness examinations.
• Draft clear and organized analysis, and effective advocacy documents.
• Plan for and conduct effective on-the-record testimony of witnesses
• Draft settlement documents.
• Collaborate effectively with other Enforcement attorneys, including within teams handling complex matters.
• Collaborate effectively with other FINRA departments.
• Prioritize matters based on risk.
• Collaborate effectively with managers and incorporate feedback into planning and execution.
Education/Experience
• Law degree and admission to the bar.
• A minimum of four years relevant legal experience in a regulatory or legal environment.
• Excellent oral and written communication and litigation skills.
• Excellent interpersonal skills.
Work Conditions
• Work outside of business hours and overnight travel may be required.
The salary for this position if the work is performed in New York, New York is a minimum of $104,100 annually to a maximum of $187,800 annually 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.
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
via Workday
schedule_type: Full-timework_from_home: 1
FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Associates gain substantive hands-on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized knowledge... about the financial industry and participate in a robust
FINRA Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations of and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Associates gain substantive hands-on legal experience that develops their lawyering skills in investigating, litigating and writing. They also gain specialized knowledge... about the financial industry and participate in a robust legal, financial and leadership training program. This is an entry-level position that works under the supervision of more senior attorneys, investigators, Directors and Chief Counsels. Associates work on variety of discrete projects as they move through six-month rotations in different Enforcement groups, which may include – Litigation, Main Enforcement, Market Regulation Enforcement, Investigations, and the Office of Counsel to the Head of Enforcement. Essential Job Functions: Enforcement Associates, Honors Program, work directly with more senior attorneys and investigators on investigations and litigations to provide high-level support throughout all phases of Enforcement matters. Duties include: Performing substantive and procedural legal and sanctions research, and drafting summaries of each, in support of more senior attorneys. Reviewing case files for evidence that supports legal findings, including sworn testimony, electronic communications and trade blotters. Proposing types and categories of evidence to collect through requests for information and documentation. Organizing and synthesizing evidence and creating and making oral presentations of factual findings to more senior attorneys. Drafting written summaries of factual findings. Proposing questions and exhibits for and attending interviews (both sworn and informal) with customers and industry personnel. Drafting sections of legal documents, including charging recommendation memos, settlement documents, complaints and pre-hearing briefs in support of more senior attorneys and investigators. Proposing investigative and legal strategies for consideration by more senior attorneys. Supporting litigation teams in hearing preparation by gathering documents for production and participating in efforts by more senior attorneys to identify potential witnesses, exhibits and lines of questioning for direct and cross examinations. Utilizing computer resources and software applications for data and information analysis pursuant to department procedures. Other Responsibilities: Assists with other projects as assigned. Education/Experience Requirements: Recent graduate of a J.D. or L.L.M. program. Excellent interpersonal, organizational, and written and oral communication skills are essential. Strong work ethic, positive attitude and professional demeanor. Strong analysis and research skills. Should be thorough and able to handle competing priorities. Should have ability to work with others to meet deadlines. Should be proactive; solutions-oriented; innovative; collaborative and motivated to learn new skills. Securities law related course work and/or knowledge of securities law or brokerage regulations are not required, but preferred. Working Conditions: Work is normally performed in an office environment. Extended hours may be required. For work that is performed in CA, CO, New York, NY 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. California: Minimum Salary $70,900, Maximum Salary $137,800 Colorado: Minimum Salary $64,300, Maximum Salary $114,800 New York, NY: Minimum Salary $77,100, Maximum Salary $137,800 Washington: Minimum Salary $64,300, Maximum Salary $132,000 Application Process: Applicants must submit a: Current resume Cover letter explaining your interest in the position, preferred posting location, and the qualifications making you an appropriate candidate Current transcript and legal writing sample will be required if selected for an interview Other Information: It is required to pass the Bar in order to be eligible to continue in the Honors Program beyond the first year of the Program. To be eligible to be hired for an attorney position in Enforcement after completion of the two year Honors Program, candidates must have successfully performed the responsibilities of the Honors Associate and must have passed a Bar examination and be duly licensed to practice as an attorney in any state, territory, or the District of Columbia. #LI-Hybrid To be considered for this position, please submit an application. 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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 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 (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. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers
Show more details...
via FINRA - Talentify
schedule_type: Full-time
This position performs a variety of duties, including applying advanced analytical skills to provide interpretations regarding rules and regulations, and managing a docket of arbitration cases.
This is professional work in which the incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under limited supervision; are... able to prioritize their work independently; and able
This position performs a variety of duties, including applying advanced analytical skills to provide interpretations regarding rules and regulations, and managing a docket of arbitration cases.
This is professional work in which the incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under limited supervision; are... able to prioritize their work independently; and able to work under limited supervision generally.
Essential Job Functions:
• Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately. Utilizes the ODR Portal and internal docket management programs.
• Analyzes assigned cases for accuracy and completeness, and anticipates and resolves issues that may arise during the course of the case.
• Acts as liaison between parties and arbitrators to facilitate resolution of pre-hearing motions and requests.
• Ensures that motions for the panel are addressed in a timely manner and monitors case-related reports to ensure compliance with deadlines and expectations.
• Analyzes, summarizes and makes recommendations on administrative motions for decision by the Director, with limited assistance.
• Advises panel as to procedural matters and provides guidance on FINRA's arbitration rules and procedures, with limited assistance.
• Answers parties’ pre and post award inquiries orally and in writing.
• Provides excellent customer service, and responds to customer complaints orally and in writing.
• Attends hearings when necessary to observe arbitrators and fairness of the proceedings.
• Drafts and serves awards in a timely manner, disposing of all issues submitted for resolution with limited assistance.
• Closes cases by award in a timely manner and ensures that they are closed with financial accuracy.
• Evaluates arbitrator performance.
• Monitors post-award litigation.
• Initiates disciplinary referrals.
Other Responsibilities:
Involved with special projects as required by management, including presentations / public speaking.
Education/Experience Requirements:
• Bachelor’s degree and 4 years of related experience or equivalent combination of education and experience; JD strongly preferred.
• Expertise using a desktop computer with the full suite of electronic office applications and other office equipment.
• Strong knowledge of electronic docket management programs and web-based Portal systems a plus.
• Excellent customer service, interpersonal, and written and verbal communication skills required.
• Must be highly organized and able to perform multiple tasks efficiently and accurately, in a fast-paced environment and under tight time constraints.
• Must function effectively in a team environment and work with others to meet deadlines.
• Strong work ethic, positive attitude, and professional demeanor.
• Strong communication, time management, organizational and attention to detail skills.
• Candidate must demonstrate discretion and sound judgment, due to the confidential nature of the work.
• Strong leadership skills required.
Working Conditions:
• Work is normally performed in an office environment.
• Occasional travel is required.
• Extended hours are frequently required.
• Limited opportunity to work from home may be available, depending on business needs.
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
This is professional work in which the incumbents are applying their skills and attaining new skills; are able to handle routine matters independently and complex matters under limited supervision; are... able to prioritize their work independently; and able to work under limited supervision generally.
Essential Job Functions:
• Manages assigned docket of cases, with responsibility to ensure that all case activities proceed timely and accurately. Utilizes the ODR Portal and internal docket management programs.
• Analyzes assigned cases for accuracy and completeness, and anticipates and resolves issues that may arise during the course of the case.
• Acts as liaison between parties and arbitrators to facilitate resolution of pre-hearing motions and requests.
• Ensures that motions for the panel are addressed in a timely manner and monitors case-related reports to ensure compliance with deadlines and expectations.
• Analyzes, summarizes and makes recommendations on administrative motions for decision by the Director, with limited assistance.
• Advises panel as to procedural matters and provides guidance on FINRA's arbitration rules and procedures, with limited assistance.
• Answers parties’ pre and post award inquiries orally and in writing.
• Provides excellent customer service, and responds to customer complaints orally and in writing.
• Attends hearings when necessary to observe arbitrators and fairness of the proceedings.
• Drafts and serves awards in a timely manner, disposing of all issues submitted for resolution with limited assistance.
• Closes cases by award in a timely manner and ensures that they are closed with financial accuracy.
• Evaluates arbitrator performance.
• Monitors post-award litigation.
• Initiates disciplinary referrals.
Other Responsibilities:
Involved with special projects as required by management, including presentations / public speaking.
Education/Experience Requirements:
• Bachelor’s degree and 4 years of related experience or equivalent combination of education and experience; JD strongly preferred.
• Expertise using a desktop computer with the full suite of electronic office applications and other office equipment.
• Strong knowledge of electronic docket management programs and web-based Portal systems a plus.
• Excellent customer service, interpersonal, and written and verbal communication skills required.
• Must be highly organized and able to perform multiple tasks efficiently and accurately, in a fast-paced environment and under tight time constraints.
• Must function effectively in a team environment and work with others to meet deadlines.
• Strong work ethic, positive attitude, and professional demeanor.
• Strong communication, time management, organizational and attention to detail skills.
• Candidate must demonstrate discretion and sound judgment, due to the confidential nature of the work.
• Strong leadership skills required.
Working Conditions:
• Work is normally performed in an office environment.
• Occasional travel is required.
• Extended hours are frequently required.
• Limited opportunity to work from home may be available, depending on business needs.
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
via FINRA - Talentify
schedule_type: Full-timesalary: 221K a year
Responsible for overall administration of the assigned staff, with primary responsibility for ensuring that reviews and investigations are planned, assigned and completed in a timely manner. Plan and coordinate staff activities to ensure consistency of work process and work product, promote best practices, and the efficient flow of work and information among staff and other Market Regulation... Department personnel.
Essential Job Functions:
• The
Responsible for overall administration of the assigned staff, with primary responsibility for ensuring that reviews and investigations are planned, assigned and completed in a timely manner. Plan and coordinate staff activities to ensure consistency of work process and work product, promote best practices, and the efficient flow of work and information among staff and other Market Regulation... Department personnel.
Essential Job Functions:
• The Assistant Director is primarily responsible for the front line leadership, direction and management of assigned staff. The Assistant Director specifically performs the following functions:
• Plan and coordinate staff activities to ensure that qualitative and quantitative objectives of assigned staff are met.
• Regularly meets with staff to review progress of reviews and investigations, provide direction concerning future initiatives, and share information and provide feedback.
• Regularly meets with the Associate Director/Director and/or other Corporate Officers and otherwise provide periodic progress reports concerning the development and completion of reviews and investigations and recommendations for disciplinary actions and sanctions.
• Establish and maintain effective informal and formal communication processes for staff.
• Provide leadership and direction to ensure that objectives are met.
• Regularly meet with immediate subordinates to discuss performance related and employee satisfaction issues.
• Ensure adequate training and development of personnel.
• Handle administrative and personnel functions for staff.
Education/Experience Requirements:
• Four (4) year college degree in Business/Finance or equivalent with course work in investments, finance and accounting.
• Eight to ten years experience in the securities industry or related field, with extensive working knowledge of the Securities Exchange Act of 1934, in general, and the rules applicable in market making activity, in particular with exposure to trading and market making issues, securities processing, clearance and trading practices and knowledge of relevant rules and regulations enforced by FINRA.
• Familiarity with software applications and automated systems.
• At least four years supervisory experience as well as exposure to personnel related issues strongly preferred.
• Skilled in the preparation of clear and concise reports and memorandums.
• Excellent communication and interpersonal skills, as well as excellent research skills.
• Demonstrated strong oral and written ability.
• Demonstrated ability to oversee comprehensive reviews and investigations for potential securities laws violations.
Work Conditions:
• Normal office environment located in Rockville, Maryland.
• Work outside of business hours and some travel may be required.
The salary for this position if the work is performed in New York, New York is a minimum of $121,700 annually to a maximum of $220,900 annually; 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.
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
Essential Job Functions:
• The Assistant Director is primarily responsible for the front line leadership, direction and management of assigned staff. The Assistant Director specifically performs the following functions:
• Plan and coordinate staff activities to ensure that qualitative and quantitative objectives of assigned staff are met.
• Regularly meets with staff to review progress of reviews and investigations, provide direction concerning future initiatives, and share information and provide feedback.
• Regularly meets with the Associate Director/Director and/or other Corporate Officers and otherwise provide periodic progress reports concerning the development and completion of reviews and investigations and recommendations for disciplinary actions and sanctions.
• Establish and maintain effective informal and formal communication processes for staff.
• Provide leadership and direction to ensure that objectives are met.
• Regularly meet with immediate subordinates to discuss performance related and employee satisfaction issues.
• Ensure adequate training and development of personnel.
• Handle administrative and personnel functions for staff.
Education/Experience Requirements:
• Four (4) year college degree in Business/Finance or equivalent with course work in investments, finance and accounting.
• Eight to ten years experience in the securities industry or related field, with extensive working knowledge of the Securities Exchange Act of 1934, in general, and the rules applicable in market making activity, in particular with exposure to trading and market making issues, securities processing, clearance and trading practices and knowledge of relevant rules and regulations enforced by FINRA.
• Familiarity with software applications and automated systems.
• At least four years supervisory experience as well as exposure to personnel related issues strongly preferred.
• Skilled in the preparation of clear and concise reports and memorandums.
• Excellent communication and interpersonal skills, as well as excellent research skills.
• Demonstrated strong oral and written ability.
• Demonstrated ability to oversee comprehensive reviews and investigations for potential securities laws violations.
Work Conditions:
• Normal office environment located in Rockville, Maryland.
• Work outside of business hours and some travel may be required.
The salary for this position if the work is performed in New York, New York is a minimum of $121,700 annually to a maximum of $220,900 annually; 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.
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
via FINRA - Talentify
schedule_type: Full-time
The Senior Network Engineer, under minimum supervision, will implement, install, test and operate the company’s data communications network and network security devices, while interfacing with multiple outsourced vendors and working on the successful deployment of multiple projects.
Essential Job Functions...
• Review and analyze process and system specifications to ensure delivery requirements are met.
• Design network solutions that include
The Senior Network Engineer, under minimum supervision, will implement, install, test and operate the company’s data communications network and network security devices, while interfacing with multiple outsourced vendors and working on the successful deployment of multiple projects.
Essential Job Functions...
• Review and analyze process and system specifications to ensure delivery requirements are met.
• Design network solutions that include redundant connectivity to ISP's, complex routing/switching infrastructure, extranet connectivity, firewall design, data center network architecture, WAN integration and wireless network integration.
• Develop, deploy, and operate hardware and software, network management systems and tools to monitor and support the corporate network infrastructure.
• Recommend enhancements and updates/patches to operating systems, firewall, network management systems, system software products and hardware.
• Ensure the Company’s Reliability, Availability and Serviceability (RAS) metrics are sustained and improved.
• Maintain & document test plans, network/firewall practices, as well as, create / revise and execute scripts.
• Oversees implementation of security guidelines in order to prevent unauthorized access to servers and report any violations.
• Perform field level hardware repairs and upgrades.
• Interface with other team members and other teams to ensure technology solution and staff are in line with customer expectations and overall technology vision and goals.
• Document and communicate status in a timely manner including metric reporting.
• Champion the collaborative resolution of defects. Work across organization to deliver solutions that meet joint requirements.
• Lead/Co-lead internal process improvement initiatives. Provide feedback on processes by offering suggestions.
• Mentor and supervise junior staff in project-level tasks.
• Assist with adherence to technology policies and comply with all security controls.
• Ensure all work products meets/exceeds FINRA standards.
• Participate in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting.
• Manage vendor relationships and related budget
Education/Experience Requirements:
• Bachelors degree in Computer Science, Information Systems, or equivalent with five (5) years of related experience in engineering or related technical discipline.
• In-depth understanding of common network security issues and industry security best practices - CISSP certificate preferred;
• Hands-on experience with enterprise grade network design and management.
• Solid hands-on experience with various networks, monitoring software, remote assistant tools, firewalls (OS level command line and GUI interface), and operating system switches - Current Networking certificate preferred.
• Familiar with various network management/troubleshooting tools.
• Proficiency with multiple operating systems – Systems Engineering certificate preferred.
• Strong knowledge and experience in various scripting languages.
• Strong written and verbal technical communication skills.
• Ability to perform well in a fast- paced, team environment.
• Strong decision making, problem solving, and analytical skills.
• Ability to communicate effectively and efficiently with people at all levels in the organization, both inside and outside of technology.
• Ability to adapt and learn new technologies.
Work Conditions:
• Work is normally performed in an office environment. Occasional travel may be required. Extended hours and weekend work may be required.
Additional Qualifications
#LI-DNI
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
Essential Job Functions...
• Review and analyze process and system specifications to ensure delivery requirements are met.
• Design network solutions that include redundant connectivity to ISP's, complex routing/switching infrastructure, extranet connectivity, firewall design, data center network architecture, WAN integration and wireless network integration.
• Develop, deploy, and operate hardware and software, network management systems and tools to monitor and support the corporate network infrastructure.
• Recommend enhancements and updates/patches to operating systems, firewall, network management systems, system software products and hardware.
• Ensure the Company’s Reliability, Availability and Serviceability (RAS) metrics are sustained and improved.
• Maintain & document test plans, network/firewall practices, as well as, create / revise and execute scripts.
• Oversees implementation of security guidelines in order to prevent unauthorized access to servers and report any violations.
• Perform field level hardware repairs and upgrades.
• Interface with other team members and other teams to ensure technology solution and staff are in line with customer expectations and overall technology vision and goals.
• Document and communicate status in a timely manner including metric reporting.
• Champion the collaborative resolution of defects. Work across organization to deliver solutions that meet joint requirements.
• Lead/Co-lead internal process improvement initiatives. Provide feedback on processes by offering suggestions.
• Mentor and supervise junior staff in project-level tasks.
• Assist with adherence to technology policies and comply with all security controls.
• Ensure all work products meets/exceeds FINRA standards.
• Participate in periodic Disaster Recovery (DR), Business Continuity Planning (BCP) and Sarbanes Oxley (SOX) testing and reporting.
• Manage vendor relationships and related budget
Education/Experience Requirements:
• Bachelors degree in Computer Science, Information Systems, or equivalent with five (5) years of related experience in engineering or related technical discipline.
• In-depth understanding of common network security issues and industry security best practices - CISSP certificate preferred;
• Hands-on experience with enterprise grade network design and management.
• Solid hands-on experience with various networks, monitoring software, remote assistant tools, firewalls (OS level command line and GUI interface), and operating system switches - Current Networking certificate preferred.
• Familiar with various network management/troubleshooting tools.
• Proficiency with multiple operating systems – Systems Engineering certificate preferred.
• Strong knowledge and experience in various scripting languages.
• Strong written and verbal technical communication skills.
• Ability to perform well in a fast- paced, team environment.
• Strong decision making, problem solving, and analytical skills.
• Ability to communicate effectively and efficiently with people at all levels in the organization, both inside and outside of technology.
• Ability to adapt and learn new technologies.
Work Conditions:
• Work is normally performed in an office environment. Occasional travel may be required. Extended hours and weekend work may be required.
Additional Qualifications
#LI-DNI
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
via Texas Jobs - Tarta.ai
schedule_type: Full-time
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director, with emphasis on lead role for FINRA's highest impact, highest risk, and/or complex firms.
Essential Job Functions...
• This is the most senior-level position reporting to a Risk Monitoring Director and supports both the Risk Monitoring Director and Single Point of Accountability in identifying existing and
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director, with emphasis on lead role for FINRA's highest impact, highest risk, and/or complex firms.
Essential Job Functions...
• This is the most senior-level position reporting to a Risk Monitoring Director and supports both the Risk Monitoring Director and Single Point of Accountability in identifying existing and emerging risks, and interactions with internal and external parties. Although not a direct manager of staff, this position provides leadership to risk monitoring execution based on experience and technical proficiency.
• Conducts, as well as collaborates and leads risk monitoring activities for FINRA's highest impact, highest risk, and/or complex firms with no guidance and minimal supervision of a Risk Monitoring Director.
• Collaborates with internal departments on a continuous basis to analyze, communicate and make recommendations with respect to regulatory intelligence unique to FINRA's highest impact, highest risk, and/or complex firms.
• Based on technical proficiency, proactively and continuously shares expertise by mentoring, coaching, training, developing, and acting as a resource to more junior level risk monitoring staff.
• Leads special projects including but not limited to, internal and external requests for intelligence within a Firm Grouping in response to market and industry events (e.g., Brexit, emerging product risks, trading volatility, rule development, cyber incidents, etc.)
• Consistently demonstrates innovation by raising important issues to Risk Monitoring Director that may lead to special initiatives at a National and Firm Group level.
• Serve as a proxy for Risk Monitoring Directors in meetings on firms or examinations.
• Responsible for conveying risk in communications with external regulators (e.g., Federal Reserve, DTCC, OCC, SEC, NFA, CFTC, etc.) that are stakeholders unique to FINRA's largest impact, highest risk, and/or complex firms.
Education/Experience Requirements
• Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
• Prior experience in FINRA's Exam and/or Risk Monitoring program preferred, demonstrated advanced analytical skills and experience in the financial industry, absorbing/processing regulatory developments and applying them to complex business models.
• Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).
Knowledge Requirements
• Advanced-to-Expert knowledge of FINRA's nine risk fundamentals.
• Advanced-to-Expert knowledge of securities rules and regulations.
• Advanced knowledge of firm business models, business lines, customer bases, products and services.
• Intermediate-to-Advanced knowledge of U.S. GAAP accounting standards.
Skill Requirements
• Proactively engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.
• Advanced written and verbal communication, financial analysis, and research skills.
• Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
• Advanced_ to - Expert ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.
• Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.
• Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
• Advanced - to- Expert quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
For work that is performed in CA, CO, New York, NY 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.
California: Minimum of $111,800, Maximum of $220,900
Colorado: Minimum of $101,500, Maximum of $184,100
New York, NY: Minimum of $121,700, Maximum of $220,900
Washington St: Minimum of $101,500, Maximum of $211,700
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
Essential Job Functions...
• This is the most senior-level position reporting to a Risk Monitoring Director and supports both the Risk Monitoring Director and Single Point of Accountability in identifying existing and emerging risks, and interactions with internal and external parties. Although not a direct manager of staff, this position provides leadership to risk monitoring execution based on experience and technical proficiency.
• Conducts, as well as collaborates and leads risk monitoring activities for FINRA's highest impact, highest risk, and/or complex firms with no guidance and minimal supervision of a Risk Monitoring Director.
• Collaborates with internal departments on a continuous basis to analyze, communicate and make recommendations with respect to regulatory intelligence unique to FINRA's highest impact, highest risk, and/or complex firms.
• Based on technical proficiency, proactively and continuously shares expertise by mentoring, coaching, training, developing, and acting as a resource to more junior level risk monitoring staff.
• Leads special projects including but not limited to, internal and external requests for intelligence within a Firm Grouping in response to market and industry events (e.g., Brexit, emerging product risks, trading volatility, rule development, cyber incidents, etc.)
• Consistently demonstrates innovation by raising important issues to Risk Monitoring Director that may lead to special initiatives at a National and Firm Group level.
• Serve as a proxy for Risk Monitoring Directors in meetings on firms or examinations.
• Responsible for conveying risk in communications with external regulators (e.g., Federal Reserve, DTCC, OCC, SEC, NFA, CFTC, etc.) that are stakeholders unique to FINRA's largest impact, highest risk, and/or complex firms.
Education/Experience Requirements
• Bachelor's Degree in Finance, Accounting, Business or related field(s), graduate degree (MBA or JD) and/or relevant industry certification(s) preferred.
• Prior experience in FINRA's Exam and/or Risk Monitoring program preferred, demonstrated advanced analytical skills and experience in the financial industry, absorbing/processing regulatory developments and applying them to complex business models.
• Demonstrated experience relating to all inherent industry risks (i.e., Operational, Sales Practice, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).
Knowledge Requirements
• Advanced-to-Expert knowledge of FINRA's nine risk fundamentals.
• Advanced-to-Expert knowledge of securities rules and regulations.
• Advanced knowledge of firm business models, business lines, customer bases, products and services.
• Intermediate-to-Advanced knowledge of U.S. GAAP accounting standards.
Skill Requirements
• Proactively engage and work effectively with senior business management, across departments, and with staff in multiple locations, including partnering and collaborating with various internal departments for the identification and trending of industry and business model risks for summation and reporting to senior management.
• Advanced written and verbal communication, financial analysis, and research skills.
• Self-starter and able to administer very complex assignments concurrently, including unstructured assignments that require autonomy and independent judgment.
• Advanced_ to - Expert ability to analyze internal and external data to assess inherent risks of member firms and develop regulatory responses to address higher risk areas.
• Be proactive & solutions-oriented; innovative; collaborative and energized by the open exchange of ideas.
• Intermediate-to-Advanced level proficiency in Microsoft Excel and Microsoft Word.
• Advanced - to- Expert quantitative, analytical, problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
For work that is performed in CA, CO, New York, NY 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.
California: Minimum of $111,800, Maximum of $220,900
Colorado: Minimum of $101,500, Maximum of $184,100
New York, NY: Minimum of $121,700, Maximum of $220,900
Washington St: Minimum of $101,500, Maximum of $211,700
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
via Louisiana Jobs - Tarta.ai
posted_at: 23 days agoschedule_type: Full-time
Exciting opportunity to join our Examinations Team focusing on Trading and Execution Firm Groups. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account whose ultimate beneficial owner(s) would be deemed an... individual. Utilizing your analytical skills, you
Exciting opportunity to join our Examinations Team focusing on Trading and Execution Firm Groups. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily provide brokerage services or effect transactions on behalf of an individual customer or an account whose ultimate beneficial owner(s) would be deemed an... individual. 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.
Examiner (Grade 44)
Essential Job Functions:
• Leads examinations of low risk and complexity with direct supervision
• Conducts and memorializes discovery and risk reviews of low risk and complexity
• 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
• Completes key trainings
• Participates in meetings with firms
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner
Senior Examiner (Grade 45)
Essential Job Functions:
• Leads examinations of low, and medium-low risk and complexity with moderate supervision
• Conducts and memorializes discovery and risk reviews of low to medium, low and medium-low risk and complexity
• Completes key trainings and learns to complete work independently
• Interviews firm personnel with moderate supervision
• 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.)
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
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
• 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
• 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
• 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.
• Completes key trainings
• Participates in meetings with firms
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner
Examiner (Grade 44)
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
• Minimal securities, compliance, or financial regulatory experience
Knowledge Requirements:
• Basic knowledge of FINRA's risk fundamentals
• Basic knowledge of securities rules and regulations
• Basic knowledge of firm business models, business lines, customer bases, products, and services
• Basic 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 low degree of complexity through verbal and written communications
Senior Examiner (Grade 45)
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:
• Basic-to-intermediate or Functional knowledge of FINRA's risk fundamentals
• Basic-to-intermediate or Functional knowledge of securities rules and regulations
• Basic-to-intermediate or Functional knowledge of firm business models, business lines, customer bases, products and services
• Basic-to-intermediate or Functional 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 low to moderate degree of complexity through verbal and written communications
• Basic-to-intermediate 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
• Ability to manage time effectively and complete assignments within budgeted timeframes, while learning to work independently
• Beginning to recognize and understand the relationship and impact between different regulatory areas
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
• Experience is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity
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
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 is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity.
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
• 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
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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 restrictionsincluding disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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.
2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
We have various levels of Examination Positions open. See below and apply to be considered.
Examiner (Grade 44)
Essential Job Functions:
• Leads examinations of low risk and complexity with direct supervision
• Conducts and memorializes discovery and risk reviews of low risk and complexity
• 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
• Completes key trainings
• Participates in meetings with firms
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner
Senior Examiner (Grade 45)
Essential Job Functions:
• Leads examinations of low, and medium-low risk and complexity with moderate supervision
• Conducts and memorializes discovery and risk reviews of low to medium, low and medium-low risk and complexity
• Completes key trainings and learns to complete work independently
• Interviews firm personnel with moderate supervision
• 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.)
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
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
• 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
• 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
• 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.
• Completes key trainings
• Participates in meetings with firms
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner
Examiner (Grade 44)
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
• Minimal securities, compliance, or financial regulatory experience
Knowledge Requirements:
• Basic knowledge of FINRA's risk fundamentals
• Basic knowledge of securities rules and regulations
• Basic knowledge of firm business models, business lines, customer bases, products, and services
• Basic 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 low degree of complexity through verbal and written communications
Senior Examiner (Grade 45)
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:
• Basic-to-intermediate or Functional knowledge of FINRA's risk fundamentals
• Basic-to-intermediate or Functional knowledge of securities rules and regulations
• Basic-to-intermediate or Functional knowledge of firm business models, business lines, customer bases, products and services
• Basic-to-intermediate or Functional 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 low to moderate degree of complexity through verbal and written communications
• Basic-to-intermediate 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
• Ability to manage time effectively and complete assignments within budgeted timeframes, while learning to work independently
• Beginning to recognize and understand the relationship and impact between different regulatory areas
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
• Experience is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity
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
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 is preferred but not required regarding merger & acquisition activity, private placement activity, product originator and wholesaling activity, or public finance activity.
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
• 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
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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 restrictionsincluding disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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.
2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
via Texas Jobs - Tarta.ai
schedule_type: Full-time
The Senior Director leads the Cyber Security Group (CSG) within FINRA's Cyber and Analytics Unit (CAU), which includes the oversight of the planning and execution of cyber security reviews and investigations involving member firms. This team provides consulting support to firm exam teams during all phases of cybersecurity or technology reviews and oversees the work across the core functions of a... FINRA Specialist team, which includes conducting
The Senior Director leads the Cyber Security Group (CSG) within FINRA's Cyber and Analytics Unit (CAU), which includes the oversight of the planning and execution of cyber security reviews and investigations involving member firms. This team provides consulting support to firm exam teams during all phases of cybersecurity or technology reviews and oversees the work across the core functions of a... FINRA Specialist team, which includes conducting investigations, examinations, advising on examinations, providing staff training and other support, informing industry and external stakeholders, monitoring area of specialization, assisting risk monitoring and participating in special projects.
This is a senior-level professional position supervising a team of highly skilled Cyber Security Investigators, developing strategy, defining the staff's assigned roles, increasing their skills, providing them with general guidance and identifying professional development opportunities.
Essential Job Functions:
• Leads a team of highly skilled Cyber Security Investigators, providing guidance and feedback to staff, developing staff's skills and depth of knowledge, and creating and fostering a team-oriented culture.
• Identifies and develops regulatory strategies around new and emerging risks and threats and supervises the execution of examinations, consultations and regulatory work as they relate to those identified risks
• Leads and consults on cyber security and technology-related thematic reviews and/or Cause investigations.
• Leads the cyber security or technology risk assessment process (e.g. identify high risk firms, monitor trends in breaches/incidents that may have an impact on member firms).
• Provides subject-matter expertise to external parties, including firm membership, on high-level regulatory issues. This could include panel discussions at conferences, regional roundtables, issuing information notices to firms or discussing effective practices.
• Ensures timely training, support, and intelligence is delivered to FINRA's Risk Monitoring, Examination and other departments as needed.
• Collaborates with the Member Application Program (MAP) team to analyze new firms related to their technology and cyber risks and controls; Provide general consultative advice on cyber security concerns.
• Regularly collaborates with other regulators or law enforcement agencies such as the SEC, FRB, States, CFTC, NFA, FBI, DHS and other stakeholders.
• Reviews and approves exam-related reports and letters (i.e. strategy, exit, exam, disposition, etc.)
• Represents FINRA at relevant industry events
Education/Experience Requirements:
• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics or related fields preferred. Advanced degree/relevant certification, a plus.
• Significant securities, compliance, or financial regulatory experience.
Knowledge Requirements:
• At a minimum, substantive knowledge of risks, rules, and regulations pertaining to cyber security, technology and fraud-related risks and threats.
• Substantive knowledge of regulatory compliance issues.
Skills Requirements:
• Expert ability in building trust and aligning high performing teams around common objectives.
• Promotes a diverse and inclusive culture; encourages open dialogue and fosters healthy discussions when faced with conflict.
• Highly advanced and effective written and verbal communication skills, including outstanding interpersonal and presentation skills.
• Fosters culture of accountability at all levels.
• Demands clarity and closure.
• Facilitates team commitment to CSG's goals and objectives.
For work that is performed in CA, CO, New York, NY 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.
California: Minimum of $154,300Maximum of $329,400
Colorado: Minimum of $140,300, Maximum of $274,500
New York, NY: Minimum of $168,400, Maximum of $329,400
Washington St: Minimum of $140,300, Maximum of $315,700
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
This is a senior-level professional position supervising a team of highly skilled Cyber Security Investigators, developing strategy, defining the staff's assigned roles, increasing their skills, providing them with general guidance and identifying professional development opportunities.
Essential Job Functions:
• Leads a team of highly skilled Cyber Security Investigators, providing guidance and feedback to staff, developing staff's skills and depth of knowledge, and creating and fostering a team-oriented culture.
• Identifies and develops regulatory strategies around new and emerging risks and threats and supervises the execution of examinations, consultations and regulatory work as they relate to those identified risks
• Leads and consults on cyber security and technology-related thematic reviews and/or Cause investigations.
• Leads the cyber security or technology risk assessment process (e.g. identify high risk firms, monitor trends in breaches/incidents that may have an impact on member firms).
• Provides subject-matter expertise to external parties, including firm membership, on high-level regulatory issues. This could include panel discussions at conferences, regional roundtables, issuing information notices to firms or discussing effective practices.
• Ensures timely training, support, and intelligence is delivered to FINRA's Risk Monitoring, Examination and other departments as needed.
• Collaborates with the Member Application Program (MAP) team to analyze new firms related to their technology and cyber risks and controls; Provide general consultative advice on cyber security concerns.
• Regularly collaborates with other regulators or law enforcement agencies such as the SEC, FRB, States, CFTC, NFA, FBI, DHS and other stakeholders.
• Reviews and approves exam-related reports and letters (i.e. strategy, exit, exam, disposition, etc.)
• Represents FINRA at relevant industry events
Education/Experience Requirements:
• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, Cybersecurity, Computer Forensics, Data Analytics or related fields preferred. Advanced degree/relevant certification, a plus.
• Significant securities, compliance, or financial regulatory experience.
Knowledge Requirements:
• At a minimum, substantive knowledge of risks, rules, and regulations pertaining to cyber security, technology and fraud-related risks and threats.
• Substantive knowledge of regulatory compliance issues.
Skills Requirements:
• Expert ability in building trust and aligning high performing teams around common objectives.
• Promotes a diverse and inclusive culture; encourages open dialogue and fosters healthy discussions when faced with conflict.
• Highly advanced and effective written and verbal communication skills, including outstanding interpersonal and presentation skills.
• Fosters culture of accountability at all levels.
• Demands clarity and closure.
• Facilitates team commitment to CSG's goals and objectives.
For work that is performed in CA, CO, New York, NY 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.
California: Minimum of $154,300Maximum of $329,400
Colorado: Minimum of $140,300, Maximum of $274,500
New York, NY: Minimum of $168,400, Maximum of $329,400
Washington St: Minimum of $140,300, Maximum of $315,700
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.
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 (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.
©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc Show more details...
Norton safe Web