Attorney in Dallas, TX

Public Interest

Dallas, TX

Attorney in Dallas, TX

Non-practicing Attorney

No

FINRA is seeking an experienced Associate Principal Investigator to join our Initial Review Group (IRG) team at all FINRA locations. This is a full-time position with a competitive salary based on experience and location. As an Associate Principal Investigator, you will be responsible for performing intake and assessment of regulatory intelligence received through various sources, including internal sources, regulatory tips, customer complaints, and firm regulatory filings. You will work with a team to quickly identify and escalate higher-risk matters, as well as gather and analyze additional information to assess risk and determine the appropriate regulatory response. This position offers the opportunity to work on specialized areas of review and participate in special projects, as well as train and mentor junior staff.

Position: Associate Principal Investigator, NCP - IRG
Organization: FINRA (Financial Industry Regulatory Authority)
Job Requisition ID: R-009087
Time Type: Full Time
Location: All FINRA Locations (see job posting for specific locations)
Salary Range: Varies by location (see job posting for specific ranges)

Job Responsibilities:

- Perform Intake & Assessment of regulatory intelligence with minimal supervision
- Analyze information received to identify regulatory issues and determine FINRA's jurisdiction
- Collect and analyze additional information from internal and external sources to assess risk and determine appropriate response
- Collaborate with internal and external stakeholders as needed to share relevant information
- Make well-reasoned recommendations for the appropriate regulatory response
- Conduct interviews with relevant parties to gather facts related to the matter
- Identify and elevate trends to manager for further action
- Train and mentor junior staff and new hires
- Participate in special projects to enhance program
- Conduct specialized areas of review as assigned

Education/Experience Requirements:

- Bachelor's degree or equivalent experience (advanced degree or law degree preferred)
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Demonstrated investigative experience
- Advanced knowledge of securities markets and member firm operations
- Advanced written and verbal communication skills
- Ability to work quickly on multiple time-sensitive matters
- Exceptional attention to detail
- Proficiency in Microsoft Office suite
- Effective at building and managing relationships

Salary Information:

- Salary ranges vary by location, based on factors such as skill set, experience, education, and internal peer compensation comparisons
- Candidates can expect offers that range from the minimum to the mid-point of the salary range
- FINRA provides full pay ranges for candidates to consider growth potential while at FINRA

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic and supplemental life and disability insurance
- Retirement plans with company match and additional contributions
- Tuition reimbursement
- Commuter benefits
- Other wellness benefits, such as adoption assistance, backup family care, and employee assistance programs

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in first year)
- 2 volunteer service days
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of family member leave, and childbirth and parental leave
- 9 paid holidays

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions, including disposing of any securities on FINRA's Prohibited Company List
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA

Search Firm Representatives:

- FINRA does not accept unsolicited resumes from search firms unless a valid written agreement and task order are in place
- All resumes submitted without an agreement and task order will be considered the sole property of FINRA and no fee will be paid if the candidate is hired

To apply for this position, please submit an application. Applications are accepted on an ongoing basis.

FINRA is an equal opportunity employer and values diversity in its workforce. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals on the basis of disability and qualified protected veterans, respectively.

If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at . This process is exclusively for inquiries regarding application accommodations.

Join the FINRA team and make a difference in the financial industry!