College of Examiners - Start Summer 2026

FINRA • New York City, NY

19d • Hybrid

About The Position

Join the FINRA Mission; Protect Investors and the Integrity of the Markets. Apply to be apart of FINRA's prestigious recent graduate program. This is a full time position starting first with our Summer 2026 College of Examinations 6 week training program - a mix of in person and remote. Examiners will then extend into a full time placement within one of our firm departments; Capital Markets, Trading and Executing, Retail or Diversified Carrying and Clearing – available at ANY FINRA LOCATION. 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 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

Requirements

• Bachelor's Degree or an equivalent combination of education and experience required.
• Major in Accounting, Finance, Economics, Business Administration or related fields preferred.
• Minimal securities, compliance or financial regulatory experience
• 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
• 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

Nice To Haves

• Advanced degree/certification a plus.

Responsibilities

• 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
• 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

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level