Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY at New York

Job Description

We Work to Protect Investors. Join our Team.

FINRA is seeking a well-qualified individual for our Regulatory Coordinator opening in New York, NY. 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:

Regulatory Coordinators monitor and evaluate the financial and operational and sales practice condition of member firms through continuous communication with member firm management and the review and analysis of regulatory filings and other data obtained from member firms. This position requires frequent contact and interaction with management of assigned member firms.

Essential Job Functions:

• Review and analyze financial reports and other relevant data to ensure compliance with FINRA and SEC rules and regulations.
• Understand the regulatory risks of the products offered by and business activities of assigned member firms.
• Identify member firms potential financial or operational difficulties as well as monitor and evaluate mergers, acquisitions, conversions and significant expansions of business.
• Review and analyze complaints, trends, registration data and other relevant data.
• Provide FINRA management with current firm information and assist FINRA management in resolving problem situations.
• Act as a liaison with assigned member firms, provide interpretations of FINRA rules, SEC rules and other applicable regulations, and assist member firms in conducting business within regulatory guidelines.
• Prepare risk-based examination planning packages of assigned member firms, conduct planning meetings and participate in member firm examinations.
• Review, analyze, and communicate examination findings to member firms senior management.
• Evaluate firm responses to examination reports to determine if corrective action is satisfactory and if further regulatory action is warranted.
• Analyze and evaluate new products to determine compliance with established rules and regulation.
• Review and analyze membership applications for the financial/operational/sales practices status of applicants.
• Train or mentor newly hired coordinators; advise and assist other coordinators in monitoring and analyzing assigned member firms.
• Participate in planning examinations of assigned member firms
• Attend exam exit meetings, interpretive discussions and meetings with member firms

Job Requirements

Education/Experience Requirements:

• Bachelors degree in Finance, Accounting, Business Administration or an equivalent combination of education and experience.
• Directly related experience in a regulatory, compliance or investigative role in securities is highly preferred.
• Excellent interpersonal, written and verbal communication skills and computer proficiency are essential.
• Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills.

Working Conditions:

Work is normally performed in an office environment, with extended hours, when necessary. Some travel required

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

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 FINRAs accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

Important Information

FINRAs 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 Codes
Country: USA, State: New York, City: New York, Company: FINRA.