Job Details

Finance - General Attorney / Government and Government Relations Attorney in Rockville, MD

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Company name

The Financial Industry Regulatory Authority (FINRA)

Organization Type

Public Interest

Job Type

Attorney

Practice Area

Government and Government Relations
Finance - General

Years of Experience

Min 3 yrs required

Location

USA Rockville, MD

Posted on

Aug 01,2017

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Profile

Investigator - OFDMI - Insider Trading Duties: Conducts routine review and investigations of unusual market activity for evidence of potential insider trading in options and for possible violations of relevant Authority rules and the federal securities laws. Professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of Authority rules and the federal securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through timely, well-written requests for information from Authority members and other constituents. Compile and organize information from a variety of sources to be used in the development of investigations of potentially fraudulent activity. Identify situations in reviews and investigations that may impact the integrity of the U.S. options markets. Develop an understanding of the investigative techniques utilized in the area of insider trading surveillance as well as the relevant Authority rules and federal securities laws. Present investigative findings (orally and in writing) to management and other constituents in an organized, concise and timely fashion. Utilize computer resources and software applications for data and information analysis pursuant to department procedures. Interface with Authority members, peers, management and outside parties, and provide excellent internal and external customer service in specialized area of regulatory responsibility.

Qualification and Experience

Qualifications: Bachelor’s degree in Finance, Economics, or Business, Law Degree, or equivalent work experience in the financial industry demonstrating research/analytical skills. 3+ years of directly related experience. Substantial knowledge of the securities markets and options as well as relevant Authority rules and the federal securities laws. Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone interviews and on-the-record testimony. Ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters. Strong organizational skills with exceptional attention to detail. Familiarity with the use of computer programs with the full suite of office software applications.

Additional info

Job Number: 006103

Company info

Hiring Coordinator
The Financial Industry Regulatory Authority (FINRA)
9509 Key West Avenue
Decoverly Building
Rockville, MD 20850