Compliance Examiner, TMMS - Market Regulation

NASD

COMPLIANCE EXAMINER, TMMS

 

NASD is the leading private-sector provider of financial regulatory services, dedicated to bringing integrity to the markets and confidence to investors through effective and efficient regulation and complementary compliance and technology-based services. NASD touches virtually every aspect of the securities business - from registering and educating all industry participants, to examining securities firms, enforcing both NASD rules and the federal securities laws, and administering the largest dispute resolution forum for investors and member firms.

 

We are currently seeking both entry-level and experienced individuals for COMPLIANCE EXAMINERS in our Market Regulation Department located in New York, NY. 

 

ESSENTIAL FUNCTIONS: Conduct on-site trading and market making surveillance examinations (TMMS) of member firms? compliance programs and systems; routinely analyze trading activity to detect possible violations of NASD rules and regulations related to order handling rules and federal securities laws.  Utilize computer resources and software applications for data analysis pursuant to investigation/review procedures.  Present investigative findings (orally and in writing) to management, and other constituents, in an organized, concise and timely fashion.  Effectively communicate with members, peers, and management and provide excellent internal/external customer service.

 

REQUIREMENTS: Bachelor?s degree in Business, Finance or Accounting; ability to work under pressure; attention to detail; highly organized; excellent interpersonal, written and verbal communication skills, and computer proficiency are essential.  Working knowledge of relevant NASD/SEC rules and regulations desired.  Compliance or auditing experience preferred.  

 

GENERAL: Work is normally performed in an office environment.  Occasional travel is required. Extended hours may be required.

 

In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, NASD offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement 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 NASD.  EOE/AA. M/F/D/V

 

When submitting your resume for consideration, please include a cover letter providing your salary history (or current requirement), and detailing how your credentials and qualifications satisfy the position requirements.  Only those candidates selected for an interview will be contacted.  For consideration, register and upload your resume to www.nasd.com

In addition, you may e-mail your resume to careers.ad@nasd.com Please indicate Compliance Examiner, TMMS in the subject line.

 

Investor protection. Market integrity.