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FINRA is seeking a well qualified individual for our Examination Manager opening in our Denver, CO, location. To be considered for this position, please submit your resume through our careers site. No phone calls, please.

Job Summary:

The Examination Manager develops and supervises District Office regulatory programs and work products related to the routine and special examinations and other reviews related to finances, policies, procedures, practices, and products offered by FINRA member firms and their associated persons and reviews related to the activities of persons associated with FINRA member firms. This is a senior-level professional position supervising examination and support staff of all levels, defining assigned roles, increasing skills, and working under general guidance.

Essential Job Functions:

• Supervises examination staff in the execution of the District Office's examination program including routine and special examinations of member firms' financial, sales, trading, underwriting, supervisory and organizational practices and systems to determine compliance with federal and FINRA rules and regulations. This includes assignment and projection of examinations; approval of examination focus; monitoring the start, progress and completion of examinations; review of the execution of the examination; review of the necessary examination elements with all required schedules and reports; review of the examination report; and recommending appropriate disciplinary action resulting from the examination findings.
• Supervises examination staff in the execution of the investigation of customer complaints, member firm terminations of associated persons' employment for regulatory cause, and activities of associated persons to determine compliance with federal and FINRA rules and regulations. This includes assignment and projection of investigations; approval of the scope of investigations; monitoring the progress of investigations; review of the execution of the investigation; review of the investigation reports, documents and schedules; review of the investigation report; and determining appropriate disciplinary action resulting from the investigation findings.
• Supervises examination staff and/or participates in formal and informal interviews of member firms personnel, member firm customers, other FINRA staff, and staff of other regulatory agencies to gather data pertinent to examinations, investigations and reviews. Testifies at and participates in hearings. Prepares or supervises the preparation of certain hearing exhibits and materials or examination deposition documents. Researches rules, regulations, guidelines, records, and databases to identify relevant data.
• Supervises the development and mentoring of examination and support staff at varying levels of expertise; preparing, executing and monitoring staff training and development plans; assessing performance of staff; preparing and delivering performance evaluations; and participating in recruiting, interviewing, retaining and recommending pay actions for staff.
• Helps to establish and maintain desired work environment and culture. Facilitates regular and ongoing discussions with individuals to ensure understanding of how individual achievements, behaviors and actions contribute to Department goals.
• Supervises or otherwise participates in special projects or regulatory efforts undertaken by FINRA or the District Office. Participates in acceptance testing and/or task forces providing feedback and guidance to ensure examination and related programs are efficient and effective.
• Participates in the development and execution of the District Office preventive compliance programs. Serves as a presenter or panelist for member conferences and training. Attends conferences and conducts interviews related to securities industry rules and regulations.
• Coordinates and communicates effectively with other FINRA personnel. Provides member firms, public investors and others with timely, accurate responses to inquiries.

Education/Experience Requirements:

• Bachelor's degree and at least eight (8) years of directly related securities experience required; six (6) years experience with FINRA preferred.
• Major in Finance, Accounting, Business Administration, or related field preferred; advanced degree preferred.
• Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelor's degree.
• Minimum of 3 accounting courses or demonstrated accounting proficiency along with excellent writing skills is required.
• Competence using a desktop computer with the full suite of office software applications preferred.
• Applicants without FINRA Member Regulation examiner experience must achieve an acceptable rating on a pre-employment assessment of writing skills.

Working Conditions:

• Work is normally performed in an office environment.
• Intermittent overnight travel is required.
• Extended hours are frequently required.
• Work environment includes high productivity expectations and tight deadlines.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding disability-related application accommodations.

In 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. You will also be eligible to participate in an additional FINRA funded retirement contribution; 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.

Please note: FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

Find out more about us and how we work-and view our current openings-at .


Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.


FINRA is an Equal Opportunity and Affirmative Action Employer

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