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Senior Finra Examiner Jobs (NOW HIRING)

FINRA

Director, Enforcement

Boca Raton, FL · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Jersey City, NJ · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

San Francisco, CA · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Dallas, TX · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Denver, CO · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Woodbridge, NJ · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

New York, NY · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Jericho, NY · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Los Angeles, CA · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Chicago, IL · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Philadelphia, PA · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Boston, MA · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

FINRA

Director, Enforcement

Washington, DC · On-site

... senior management in Enforcement and other departments, and to manage personnel effectively ... FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of ...

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All JobsFinra Examiner JobsSenior Finra Examiner Jobs

Senior Finra Examiner information

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$37K

$86.2K

$128.5K

How much do senior finra examiner jobs pay per year?

As of Sep 4, 2026, the average yearly pay for senior finra examiner in the United States is $86,162.00, according to ZipRecruiter salary data. Most workers in this role earn between $66,000.00 and $104,000.00 per year, depending on experience, location, and employer.

What is the difference between Senior Finra Examiner vs Finra Examiner?

AspectSenior Finra ExaminerFinra Examiner
CertificationsFINRA licenses, securities licenses, industry certificationsFINRA licenses, securities licenses
Work EnvironmentMore experienced, often lead investigations, review complex casesEntry to mid-level, conduct routine examinations and reviews
Employer & IndustryFINRA, securities industry, regulatory agenciesFINRA, securities industry, regulatory agencies

The main difference between a Senior Finra Examiner and a Finra Examiner lies in experience and responsibilities. Senior Finra Examiners handle more complex cases, lead investigations, and review advanced compliance issues, whereas Finra Examiners focus on routine examinations and supporting investigations. Both roles require similar certifications and work within the same industry environment, but the senior position demands greater expertise and leadership in regulatory compliance.

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Senior Finra Examiner jobs near you
Infographic showing various Senior Finra Examiner job openings in the United States as of August 2026, with employment types broken down into 95% Full Time, and 5% Part Time. Highlights an 79% Physical, 7% Hybrid, and 14% Remote job distribution, with an average salary of $86,162 per year, or $41.4 per hour.

Managing Director, Broker-Dealer Supervision

NewEdge Capital Group LLC

Stamford, CT • On-site, Remote

$194K - $219K/yr

Full-time

Posted 19 days ago

Job description

About the Role

NewEdge Securities is seeking a seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design, implementation, and day-to-day management of the firm's supervisory framework across all registered representative and branch activity. The role is distinct from the compliance function and focuses on day-to-day operational supervision ? ensuring the firm meets its FINRA Rule 3110 obligations and that supervisory controls are embedded in business processes firm-wide.

Location: The ideal candidate will report to one of the following offices: Pittsburgh, PA; Stamford, CT; or Fort Lauderdale, FL. However, remote candidates are encouraged to apply.

Key Responsibilities

  • Ensure alignment with Firm WSPs, current regulatory requirements and actual business practices
  • Execute daily supervisory review of registered representative activity across equities, fixed income, options, alternative investments, and annuity/insurance products
  • Oversee onboarding supervision of registered representatives, including review of U4/U5 filings and disclosure events
  • Manage escalation of supervisory findings to senior leadership; partner with the CCO where matters have compliance or regulatory implications
  • Supervise and develop the supervision team; set performance standards and manage workflow
  • Oversee CAT reporting obligations and ensure accuracy and timeliness of submissions in coordination with operations
  • Oversee TRACE reporting supervision for fixed income transactions, including exception review and error remediation
  • Administer and leverage Smarsh for electronic communications surveillance, including email and correspondence review
  • Administer and leverage Protegent for supervisory exception reporting and trade review
  • Monitor FINRA Notices and rule updates with direct supervisory implications and update WSPs accordingly
  • Coordinate with NFS on operational supervision matters related to the clearing relationship
  • Support FINRA cycle examinations and for-cause inquiries as the subject matter expert on supervisory systems and procedures
  • Maintain the firm's supervisory review logs and exception reporting infrastructure

Qualifications

  • 10+ years of broker-dealer supervision experience in a FINRA-regulated environment
  • Active Series 24 required; Series 9/10 a plus given options and equities business lines
  • Deep working knowledge of FINRA Rule 3110, 3120, 3130, and related supervisory obligations
  • Hands-on experience with trade review and electronic communications surveillance platforms including email and correspondence review; familiarity with Protogent preferred
  • Experience supervising across multiple product types including equities, fixed income, options, alternative investments, and annuities/insurance products
  • Experience with FINRA examination processes, particularly in a supervisory capacity
  • Proven ability to build and manage supervisory systems and procedures in a growing or evolving firm
  • Strong written communication skills; WSP drafting experience required
  • Excellent interpersonal and management skills with ability to work across the spectrum of clients, business partners and regulators
  • Must possess complex problem-solving skills to deal with the daily challenges that arise from supervising registered representatives that engage in multiple and different lines of business
  • Ability to address issues in an efficient manner in a fast-paced environment
  • Correspondent broker-dealer experience a plus
  • Investment advisor experience a plus