Associate Principal Examiner, TFCE - Any FINRA Location

The Regulatory Analyst III conducts routine review and investigations of a somewhat complex nature of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations.

This is competent-level professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under available supervision.

Essential Job Functions :

• Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity.
• Conducts routine reviews and investigations into possible violations of the FINRA rules and regulations relating to order handling rules and / or federal securities laws.
• Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity.
• Through the review / investigative process the Analyst resolves situations that may impact the integrity of Nasdaq or other markets.
• Demonstrates a thorough understanding of the investigative techniques utilized in the respective area of primary responsibility and relevant FINRA / SEC rules and regulations;

performs preventive compliance functions.

• Presents investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.
• Utilizes computer resources and software applications for high-level data analysis pursuant to investigation / review procedures.
• Interfaces with members, peers, management and others and provides excellent internal / external customer service in specialized area of regulatory responsibility.

Education / Experience Requirements :

• Bachelor’s degree in Finance, Economics, or Business or equivalent work experience in the financial industry demonstrating research / analytical skills.
• A minimum of five years of directly related experience. Substantial knowledge of relevant FINRA / SEC rules and regulations.
• Substantial knowledge of securities markets, member firm operations, books and records. Ability to conduct telephone interviews.
• Ability to initiate and complete quality reviews.
• Competence using a desktop computer with the full suite of office software applications.

Work Conditions :

• Ability to work under pressure. Attention to detail is essential.
• Strong verbal and written communication skills and technical capabilities are essential to position.
• Some travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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 .

CA : Minimum Salary $91,500, Maximum Salary $170,900

CO / HI / MN / VT* : Minimum Salary $79,500, Maximum Salary $142,300

IL* : Minimum Salary $87,500, Maximum Salary $156,600

Jersey City, NJ / NY, NY : Minimum Salary $95,400, Maximum Salary $170,900

MD / Washington, DC : Minimum Salary $91,500, Maximum Salary $163,700

WA : Minimum Salary $79,500, Maximum Salary $163,700

Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

LI-Hybrid