Attorney in Jericho, NY

Public Interest

Jericho, NY

Attorney in Jericho, NY

Non-practicing Attorney

No

Exciting opportunity for an experienced investigator to join FINRA as an Associate Principal Investigator in the Initial Review Group (IRG) in all FINRA locations! This role offers a competitive salary and benefits package, as well as the opportunity to work with a team of highly skilled professionals in a fast-paced and dynamic environment. As an Associate Principal Investigator, you will be responsible for reviewing and analyzing regulatory intelligence received from various sources, making recommendations for regulatory response, and collaborating with internal and external stakeholders.

Key responsibilities:

Review triggering event information and clarify firm filing information
Gather background intelligence using internal and external resources
Conduct interviews with relevant parties to gather facts related to the matter
Assess and analyze information to identify potential violations of FINRA rules and federal securities laws
Identify and elevate apparent trends to manager
Collaborate with internal and external stakeholders to share relevant information
Recommend and draft appropriate assessment dispositions
Train and mentor junior staff and new hires
Conduct specialized areas of review, as assigned

Requirements:

Bachelor’s degree or equivalent relevant experience
Advanced knowledge of relevant FINRA rules and federal securities laws
Demonstrated investigative experience
Advanced written and verbal communication skills
Ability to work quickly on multiple time-sensitive matters
Strong organizational skills and attention to detail
Proficiency in Microsoft Office applications
Effective at building and managing relationships

Salary information:

Locations: New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago (North Wacker Drive); San Francisco, CA; Rockville, MD; Philadelphia, PA; Los Angeles, CA
Time type: Full time
Posted on: Posted Today
Job requisition ID: R-009087

Salary range by location:

CA: Minimum Salary $109,600, Maximum Salary $206,200
CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
IL*: Minimum Salary $104,900, Maximum Salary $189,400
Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
NJ State: Minimum Salary $104,900, Maximum $206,200
NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at **MEMBERS ONLY**SIGN UP NOW***.

#LI-Hybrid

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

The Associate Principal Investigator, NCP - IRG will perform intake and assessment with minimal supervision and demonstrate competency in investigative techniques. This role requires advanced knowledge of relevant FINRA rules, federal securities laws, and markets and trading. As an Associate Principal Investigator, you will be responsible for reviewing and analyzing regulatory intelligence received from various sources, making recommendations for regulatory response, and collaborating with internal and external stakeholders.

Essential job functions:

Review triggering event information and clarify firm filing information
Gather background intelligence using internal and external resources
Conduct interviews with relevant parties to gather facts related to the matter
Assess and analyze information to identify potential violations of FINRA rules and federal securities laws
Identify and elevate apparent trends to manager
Collaborate with internal and external stakeholders to share relevant information
Recommend and draft appropriate assessment dispositions
Train and mentor junior staff and new hires
Conduct specialized areas of review, as assigned

Education/Experience requirements:

Bachelor’s degree or equivalent relevant experience; required. Advanced degree or law degree, preferred.
Advanced knowledge of relevant FINRA rules and federal securities laws and demonstrated investigative experience.
Advanced knowledge of the securities markets and member firm operations and its books and records.
Advanced written and verbal communications skills.
Advanced ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
Advanced organizational skills with exceptional attention to detail.
Advanced proficiency using computer programs with the full suite of Office software applications
Effective at building and managing relationships.

Salary information:

Locations: New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago (North Wacker Drive); San Francisco, CA; Rockville, MD; Philadelphia, PA; Los Angeles, CA
Time type: Full time
Posted on: Posted Today
Job requisition ID: R-009087

Salary range by location:

CA: Minimum Salary $109,600, Maximum Salary $206,200
CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
IL*: Minimum Salary $104,900, Maximum Salary $189,400
Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
NJ State: Minimum Salary $104,900, Maximum $206,200
NY State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions