FINRA Surveillance Administrative Assistant - Member Regulation, ROOR - New York, NY in New York, New York

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The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for ourSurveillance Assistantopening inNew York, NY.To be considered for this position, please submit your resume through our career site atwww.finra.org/careers no phone calls, please.

Job Summary:

Assist in fulfilling Units responsibility for ensuring the financial and operational integrity of assigned member firms by controlling, developing, organizing and reviewing various data necessary to accomplish same.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions:

  • Monitor and evaluate the financial, operational and sales practice conditions of floor member firms conducting a public business to ensure compliance with FINRA and SEA rules and regulations through the review and analysis of financial reports and other relevant data, as well as the performance of specific surveillance functions pursuant to Divisional guidelines.
  • Review and approve clearing agreements and their amendments.
  • Conduct initial reviews of Annual Audited Financial Statementsto ensure that the submissions are complete.
  • Correspond with Member Firms relating to exceptions to the Customer Accounts Transfer FINRA rule 11870 and provide the Regulatory Coordinators with supporting data to assist in their disposition.
  • Maintain logs and files for clearing agreements, audit reports, enforcement referrals, RMIS and other ad hoc data.
  • Collaborate and prepare on a monthly basis senior management unit reports in a timely manner.
  • Assist Units Surveillance/Examination Directors and Regulatory Coordinators in the accomplishment of various administrative tasks.
  • Special projects and other requests.



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