Associate Principal Examiner - Capital Markets



Associate Principal Examiner - Capital Markets

Associate Principal Examiner - Capital Markets.

The Associate Principal Examiner has demonstrated a proficient level of competence in identifying risks, developing regulatory strategies to address those risks and managing teams to achieve the goals of the strategies. The Associate Principal Examiner provides advice to staff and definitive determinations with regard to decisions concerning his/her respective area(s) of competence. This is a senior-level professional position leading teams, mentoring, sharing knowledge and advising staff, and working under minimal supervision.Essential Job Functions:* Lead or participate in, and provide guidance and advice with regard to high risk examinations, special national projects, sweeps and task forces.* The Associate Principal Examiner possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.* This activity may be conducted either in the field or in the office.* Proactively identify notable trends in industry practices, products and procedures.* Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.* Demonstrate strong critical thinking, interviewing, research and quantitative skills.* Possess a proficient level of knowledge of securities products, activities of member firms and the industry.* Assist other examiners on discovery/risk reviews and examination reports.* Actively lead and participate in meetings on firms and/or examinations with minimal supervision.* Lead classroom instruction on technical matters for the examination staff.* Proactively identify ideas for in-house training.* Participate in developing course content and advising the Member Regulation.* Training unit on technical accuracy of classroom material.* Participate in developing or delivering training courses for all department employees.* Serve as a mentor and coach to other staff.* Moderate and/or present subject matter material at internal meeti...

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Hiring company

Financial Industry Regulatory Authority, Inc.

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