Principal Trading Reg Liaison, T&E
Company: Financial Industry Regulatory Authority, Inc.
Location: Jersey City
Posted on: June 19, 2022
The Trading Regulatory Liaison ("TRL") position within TFCE is
an individual serving the main point of contact between TFCE and
other FINRA departments, including other Market Regulation
sections, on trading related issues concerning exams, as well as
interact with Shared Services and Member Regulation and TFCE FinOp
Regulatory Coordinators, and serve as FINRA's primary liaisons for
member firms. The TRL is responsible for identifying the regulatory
risks at firms as part of the risk-based examination planning
process. This involves leading exam planning meetings and providing
recommendations and extensive input to TFCE managers and staff
regarding exam focusing of risk-based content.
Essential Job Functions:
* Prepare risk-based examination planning packages of relevant
member firms, gather regulatory intelligence and data related to
risk from Regulatory Coordinators, QOM surveillance staff, client
market surveillance staff, SRMG, and Options Regulation. This
information may include items such as recent filings detailing firm
business changes, SEC exam reports, open investigations and
* Assist in researching, review and analyze examination findings
and investigative results, disciplinary history, trends,
registration and other relevant data to determine the relevant
risks of the firm. Collect, reconcile, and analyze information
including broker-dealer documents, trading and financial
information, as well as internal FINRA documents to assist the
examiner in the analysis of an investigation.
* Serves as the main point of contact to communicate firm
information between the Regulatory Coordinator and TFCE exam staff.
Manage and conduct moderate investigative work and assist other
TFCE personnel on more complex investigative work.
* Assist TFCE Manager to resolve problematic situations; such as,
firm remediation related to systemic issues, communication and/or
response issues with the firm, and researching FINRA Rule
interpretation issues that arise.
* Participate in the onsite examination, and attend exam exit
meetings, interpretive discussions and other meetings with member
* Lead exam planning meetings and provide expert level knowledge
directing exam staff regarding the Risk Scoping of examinations
through identifying and relaying trading risk areas to exam staff.
Complete investigations by consolidating the various factual
details of an investigation into a final investigative report.
* Support TFCE investigations, including the review and
interpretation of data to determine potential violations of
* Proficient knowledge of regulatory risks of the products offered
by and the business activities of relevant member firms.
* Bachelor's degree in Finance, Economics, or Business or
equivalent work experience in the financial industry demonstrating
* A minimum of seven years of directly related experience.
Extensive knowledge of relevant rules and regulations enforced by
* Extensive knowledge of securities markets, member firm
operations, books and records.
* Ability to initiate and complete quality reviews.
* Strong organizational and interpersonal skills.
* Demonstrated ability to successfully lead special projects.
* Competence using a desktop computer with the full suite of office
* Work is normally performed in an office environment.
* Extended hours and occasional travel is required.
To be considered for this position, please submit an
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
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Employees may be eligible for a discretionary bonus in addition to
base pay. FINRA also provides a variety of benefits including
comprehensive health and welfare benefits, life and disability
insurance, paid holidays, vacation, personal, and sick leave. FINRA
offers immediate participation and vesting in a 401(k) plan with
company match. You will also be eligible for participation in an
additional FINRA-funded retirement contribution, our tuition
reimbursement program 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.
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. FINRA employees are
required to disclose to FINRA all brokerage accounts that they
maintain, and those in which they control trading or have a
financial interest (including any trust account of which they are a
trustee or beneficiary and all accounts of a spouse, domestic
partner or minor child who lives with the employee) and to
authorize their broker-dealers to provide FINRA with duplicate
statements for all of those accounts. All of those accounts are
subject to the Code's investment and securities account
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restrictions-including disposing of any security issued by a
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employment with FINRA. Employees may only maintain securities
accounts that must be disclosed to FINRA at one or more securities
firms that provide an electronic feed (e-feed) of data to FINRA,
and must move securities accounts from other securities firms to a
firm that provides an e-feed within three months of beginning
You can read more about these restrictions here.
As standard practice, employees must also execute FINRA's Employee
Confidentiality and Invention Assignment Agreement without
qualification or modification and comply with the company's policy
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Keywords: Financial Industry Regulatory Authority, Inc., Jersey City , Principal Trading Reg Liaison, T&E, Other , Jersey City, New Jersey
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