Regulatory Coordinator - Sales Practice, Member Regulation - New York, NY Job Listing at FINRA in New York, NY (Job ID 001983)

FINRA

FINRA

Location: New York, NY
Application deadline: None
Type: Not specified
Career Level: Entry Level
Salary Range: Not specified
Number of Jobs: 1
Relocation Available: No
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Industries
Finance
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  


Education/Experience Requirements:
  • Bachelor's degree in Finance, Accounting, Business Administration or a related discipline
  • A minimum of 3 accounting classes
  • 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 FINRA's accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.
 
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
 
Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
 
About FINRA
 
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.
 
FINRA's independent regulation plays a critical role in America's financial system and 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. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.
 
FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.
 
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.
 
Find out more about us and how we work-and view our current openings-at www.finra.org/careers.
  
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
 
©2012 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.


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