Compliance Examiner - Seattle

Job Description:The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States and is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.FINRA, created through the consolidation of NASD (National Association of Securities Dealers) and the member regulation, enforcement, and arbitration functions of the New York Stock Exchange, is currently seeking talented individuals for a Compliance Examiner opportunity in our Seattle, Washington location. The Compliance Examiner performs a variety of specific duties including applying substantial or advanced analytical skills while conducting routine and special examinations of member firms to ensure compliance with government and FINRA regulations. ESSENTIAL JOB FUNCTIONS:Technical: Conducts on-site examinations of member firms performing the following:- Evaluation of compliance programs and business structure - Reviewing sales and marketing practices- Performing financial surveillance- Analyzing financial and operational conditionsCommunication/Interpersonal/Leadership: - Prepares reports based on examination findings- Interacts with investors while investigating complaints- Communicates with all levels of member firm employeesREQUIREMENTS:- Bachelor’s degree in Finance, Accounting, Business Administration or a related discipline- A minimum of 3 accounting classes- Experience in the securities industry is preferred- Directly related experience in a regulatory, compliance or investigative role in securities is highly desired- Excellent interpersonal, written and verbal communication skills and computer proficiency are essential- Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills- Must be able to travel and work extended hours as needed- All work is performed in an office environmentIn addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.EOE/AA. M/F/D/VABOUT FINRA:A new single SRO [Self Regulatory Organization] for the U.S. Securities Industry was created with the joining of NASD and NYSE Regulation, Inc. in July 2007. This new SRO is the largest self-regulatory organization for securities brokers and dealers in the world. Our efforts are not just on the enforcement of rules, but on forward thinking activities such as member education, investor education, compliance training for industry firms and increased collaboration with other U.S. and international regulatory bodies. Join us in our mission to protect investors and market integrity.



Minimum Education Required: BachelorYears of Experience Required: At Least 1 YearExpected Travel Time: About 50%