Regulatory Analyst – Market Regulation, Trade Exams & Special Reviews
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst opening in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA and it clients. Essential Job Functions: Conduct surveillance of trading in NYSE and NYSE Amex listed securities. Conduct in-depth and timely investigations Read more […]
Regulatory Coordinator – Sales Practice, Member Regulation
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 Read more […]
Financial Operations Examiner
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: Conducts on-site examinations and assesses Floor member and member organization’s financial and operational condition and compliance with securities rules and regulations. Essential Job Functions: Examine and analyze financial, operational and sales practice compliance of Floor members and member organizations.Reviews Read more […]