Finra Work Values

Daily Duties at Finra:

Summary: Development of relationships with assigned firms to provide education in regulatory standards through monthly reviews, outreach programs, and routine examinations. Analyzed financial reports and other relevant data to ensure compliance with all regulations. Prepared risk-based examination planning packages of assigned member firms. Conducted examinations of firms and reported potential violations to senior management.

What they like about Finra:

A hiring company that offers alternative approaches to pay, performance bonuses, and/or equity in the firm is very attractive to you. You're generally less interested in working for an organization offering only traditional, salary-based compensation, one with limited opportunity to acquire equity in the firm, or one that does not actively promote skill development. In addition, you are more likely to choose a company that offers a variety of internal career options, with defined career paths. You view the learning of new skills and development of your expertise as key to your career advancement. These aspects of an organization may become even more important to you as you progress in your field, and are especially critical if you change career or occupation.

Tags

written supervisory procedures, compliance officer, trade surveillance, self starter, leadership role, broker dealer, project management, consulting, branch audits, FINRA/SEC Examinations, WEB CRD Registrations, FORM BD, drafting of internal controls, Testing of Internal Controls, Compliance Leadership, management of regulatory inquiries and examinations, creation of management reports to monitor compliance, compliance training programs

Skills

Sales Support, MS Office : Word, Excel, PowerPoint, Manage FINRA and SEC regulatory requests regarding specific firm’s trading activities by providing written communications to resolve inquiries in a timely manner. , Demonstrate dynamic leadership qualities and strong communication skills in successfully steering compliance agenda and financial meetings utilized in delivering comprehensive strategies., Developed training materials that were utilized for regulatory mandated meeting thus reducing the firm’s need to contract with vendors for outsourced solutions.

These are some of the questions we asked our climbers about their experiences with Finra: