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Examiner - Member Regulation, Sales Practice

Company: FINRA
Location: Chicago
Posted on: July 15, 2019

Job Description:

We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Examiner opening in Chicago, IL. To be considered for this position, please submit your resume through our career site at www.finra.org/careers no phone calls, please.

Job Summary:

The Examiner is responsible for identifying risks, developing regulatory strategies to address those risks and works with teams to achieve the goals of the strategies. The Examiner provides input to staff with regard to his/her respective area(s) of competence. This is a professional position sharing knowledge, developing and refining skills, and working under moderate supervision and guidance.Position may be filled at various levels depending on experience and job skills of a successful candidate.Essential Job Functions:


  • Participate in examinations, special projects, sweeps and task forces as assigned. The Examiner possesses a competent level of knowledge of relevant rules, regulations, guidelines and industry practices. This activity may be conducted either in the field or in the office.

  • Proactively identify notable trends in industry practices, products and procedures.

  • Ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner.
  • Demonstrate proficient critical thinking, research and quantitative skills.

  • Possess a competent level of knowledge of securities products, activities of member firms and the industry.

  • Participate as a team member on examinations to assist with or conduct discovery/risk reviews and examination reports.

  • Actively participate in meetings on firms and/or examinations with moderate supervision and guidance.

Keywords: FINRA, Chicago , Examiner - Member Regulation, Sales Practice, Sales , Chicago, Illinois

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