Associate Principal Examiner, Membership Application Program

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12/07/2020

Associate Principal Examiner, Membership Application Program

Associate Principal Examiner, Membership Application Program.

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 complex, novel, unique or high risk applications form membershipand other membership matter types.* The Associate Principal Examiner possesses a proficient level of knowledge of relevant rules, regulations, guidelines and industry practices.* 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 proficient issue spotting, 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 with the analysis of applications that may be complex, novel, unique or high risk.* Ensures that applications and other matters are executed efficiently, with high quality, and in a timely manner.* Actively lead and participate in meetings with member firms, consultants, attorney's and district office staff with 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...

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Financial Industry Regulatory Authority, Inc.

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