Job Description:

Conduct audits of business processes (financial systems and operational practices) of the FINRA and its subsidiaries to provide senior management with an independent assessment of whether the internal controls provide reasonable assurance that business objectives are achieved and risks mitigated; resources are used economically and efficiently; governing laws and regulations, as well as FINRA rules and policies are complied with; financial and operating information is reliable and timely; and corporate assets are adequately safeguarded.

Essential Job Functions:

• Conduct integrated audits of business processes. Perform fieldwork under supervision of the Auditor-in-charge (AIC). Assist in the planning, fieldwork, reporting, and follow-up phases of assigned audits in accordance with departmental (ref. Audit Manual) and professional standards (promulgated by the Institute of Internal Auditors). Fieldwork entails interviews and detailed testing on design and effectiveness of processes and controls.  Coordinate with Information Systems (IS) audit team on integrated audit engagements.


• Assist in conducting Development Reviews (DRs) in accordance with departmental standards by providing input on the design of the control environment for developing business areas or systems.


• Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner. A moderate amount of editing of audit observations and workpaper review comments by the Auditor-in-charge and Director is expected at this level.


• Participate in meetings with Internal Audit management and internal initiatives to improve internal audit processes and procedures; perform administrative tasks such as audit-related time reporting and continual updating of the FINRA Audit Management Information System (AMIS).


• Stay abreast of securities industry trends, audit profession developments and best practices.

Education/Experience Requirements:

• Bachelor’s Degree in Accounting, Finance, Business Administration or a related field.


• A minimum of 3 years of professional experience consisting of a combination of one or more of the following: analytical, investigative, audit or compliance experience in the securities industry, internal audit or public accounting.


• Excellent teamwork and communication skills.


• Professional certification (such as CIA, CPA or CFA) and/or advanced degree is encouraged. 


• Some data Analytics skills desired including experience with data analytics tools (e.g., Power BI, Tableau, ACL, etc.) and / or evaluating results of data analytics.

Work Conditions

• Some travel required; estimated at less than 10% annually.

#LI-Hybrid

To be considered for this position, please submit an application.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program 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 FINRA.

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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