College of Examinations Program – Summer 2025 Full Time Entry Level Examiners – Member Supervision – ANY FINRA LOCATION

Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of our member firms.

We classify each member firm by primary business model into one of four Firm Groups: Retail; Diversified, Carrying and Clearing; Capital Markets; and Trading and Execution.

Each of these Firm Groups has dedicated FINRA staff with knowledge in regulating risks specific to those business models. Utilizing your analytical skills and accounting experience, you can be on the front lines of FINRA’s Mission to protect investors and the integrity of the markets.

Essential Job Functions:

• Leads examinations of low risk and complexity with direct supervision
• Conducts and memorializes discovery and risk reviews of low risk and complexity
• Completes key trainings
• Participates in meetings with firms
• Gathers regulatory intelligence using internal FINRA systems
• Using an accounting background; analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.)  and systems (order management systems, supervisory alert systems, etc.) 
• Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner.
• Identifies exceptions, observations, and other findings 

Education/Experience Requirements:

• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration or related fields preferred. Advanced degree/certification a plus.
• Accounting courses &/or Accounting Degree highly desired.  
• Minimal securities, compliance or financial regulatory experience.

Knowledge Requirements:

• Basic knowledge of FINRA's risk fundamentals
• Basic knowledge of securities rules and regulations
• Basic knowledge of firm business models, business lines, customer bases, products and services
• Basic knowledge of major review areas and the associated rule requirements
• Awareness and understanding of internal policies and protocols

Skill Requirements:

• Ability to effectively articulate matters with low degree of complexity through verbal and written communications
• Basic critical thinking, research and analytical skills
• Familiar with available internal resources
• Ability to manage time effectively and complete assignments within budgeted time-frames
• Ability to identify and prioritize risk

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $68,400, Maximum Salary $126,600

CO/HI/MN/VT*: Minimum Salary $59,500, Maximum Salary $105,500

IL*: Minimum Salary $65,800, Maximum Salary $116,000

Jersey City, NJ/NYC, NY: Minimum Salary $71,400, Maximum Salary $126,600

MA/WA: Minimum Salary $59,500, Maximum Salary $121,200

MD/Washington, DC: Minimum Salary $68,400, Maximum Salary $121,200

NJ: Minimum Salary $65,800, Maximum $126,600

NY: Minimum Salary $59,500, Maximum Salary $126,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

To learn more about this program click here:  https://www.finra.org/careers/recent-grads

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To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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.

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