US-NY NYC & Various, COMPLIANCE EXAMINER, NASD 0588
FEATURED COMPANY: NASD
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Position: COMPLIANCE EXAMINER
Date: January 7, 2004
JOB #0588
Location: New York, NY, Atlanta, Boston, Chicago, Dallas, Denver, Jericho, Kansas City MO, Los Angeles, New Orleans, Woodbridge NJ, Philadelphia, San Francisco, and Seattle
Status: Full-time

DESCRIPTION: COMPLIANCE EXAMINER

 NASD is the leading private-sector provider of financial regulatory service, dedicated to binging 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 education 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 and SENIOR COMPLIANCE EXAMINERS  in our district office in  New York, NY.  We also have on-going opportunities for Compliance Examiners in Atlanta, Boston, Chicago, Dallas, Denver, Jericho, Kansas City MO, Los Angeles, New Orleans, Woodbridge NJ, Philadelphia, San Francisco, and Seattle.  To view current openings in these cities, please check our Career Opportunities Website at: NASD.com

ESSENTIAL FUNCTIONS:

Conducts on-site inspection of member firms' compliance programs and systems; analyzes sales practices; assesses firms' financial and operational conditions; and prepares reports of the inspections.  Incumbents may be responsible for investigating investor complaints. Complete the Cornerstone curriculum by completing all print-based and computer-based examinations within time frames as established by mentor/supervisor.

REQUIREMENTS:

Bachelor's degree in Business, Finance, Accounting, Economics, Law or a related discipline; a minimum of twelve credit hours in accounting; and a minimum of two years' relevant 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.

GENERAL:

Work is normally performed in an office environment.  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 plans; 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. MF/D/V

 COMPANY CONTACT INFORMATION:

When submitting your resume for consideration, please include a cover letter providing your salary history, desired location (or current requirement), and detailing how your credentials and qualification satisfy the position requirements.  Only those candidates selected for an interview will be contacted.   Please forward to  Careers.NY2@NASD.com 

INVESTOR PROTECTION.  MARKET INTEGRITY.