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College of Examinations (Early-Career Opportunity)

Financial Industry Regulatory Authority (FINRA)
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To conduct risk-based examinations of FINRA member firms and registered re
Job Description

Leads examinations of low risk and complexity with direct supervision

Conducts and memorializes discovery and risk reviews of low risk and complexity

Completes key trainings

Participates in meetings with firms

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.

Identifies exceptions, observations, and other findings 

Demonstration of FINRA’s values.

Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.presentatives