Compliance Examiner II

Job Description:
NASD, the nation's leading private-sector provider of financial regulatory services, is 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 talented individuals for COMPLIANCE EXAMINERS, SENIOR COMPLIANCE EXAMINERS, COMPLIANCE SPECIALIST and SPECIAL INVESTIGATORS in our district office in Boston. We also have on-going opportunities for Compliance Examiners and Senior Compliance Examiners in Atlanta, Chicago, Dallas, Denver, Jericho NY, Kansas City MO, Los Angeles, New Orleans, New York City, Philadelphia, San Francisco, Seattle and Woodbridge, NJ.


ESSENTIAL FUNCTIONS:
Conducts on-site examinations and reviews of member firms' compliance programs and systems; analyzes sales practices; assesses member firms' financial and operational conditions; prepares reports; and investigates investor complaints.

REQUIREMENTS:
Bachelor's degree in Finance, Accounting, Business Administration or a related discipline; a minimum of three courses in accounting; and a minimum of one year directly related experience in a regulatory, compliance or investigative role. Excellent interpersonal, written and verbal communication skills, and computer proficiency are essential. Experience in the securities industry is preferred. Applicants must achieve an acceptable rating on a pre-employment assessment of writing skills.

GENERAL:
Work is normally performed in an office environment. Travel is required. Extended hours are frequently 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




Investor protection. Market integrity.

Searchable Keywords: Compliance Examiner II / gj-mo

Minimum Education Required: Bachelor

Years of Experience Required: At Least 1 Year

Expected Travel Time: None