Principal Investigator, Ncp

Min 5 yrs required

Full-time

No

"Principal Investigator, NCP - Investigating Fraud and Misconduct at FINRA"

#H1: Principal Investigator, NCP - Investigating Fraud and Misconduct at FINRA
#H2: Join Our Team as a Principal Investigator at FINRA for Investigating Fraud and Misconduct

Organization: FINRA (Financial Industry Regulatory Authority)
Department: National Cause Program (NCP)
Job Title: Principal Investigator
Location: Any FINRA location
Employment Type: Full-time
Salary Range: $92,500 - $200,200 (varies by location)

FINRA's National Cause Program (NCP) is responsible for investigating potential fraud and other serious misconduct within the securities industry. As a Principal Investigator, you will play a crucial role in conducting thorough investigations and providing subject matter expertise to support the NCP's efforts.

Key Responsibilities:

- Independently lead investigations of varying risk and complexity
- Gather regulatory intelligence using internal systems and record requests
- Request, compile, analyze, assess, and evaluate records
- Prepare for and participate in on-the-record interviews
- Conduct and facilitate interviews of relevant parties
- Identify exceptions, observations, and other findings and escalate potential issues to management
- Analyze and evaluate firm records and systems to identify trends and potential risks
- Train and mentor junior staff and new hires
- Participate in special projects as assigned

Education and Experience Requirements:

- Bachelor's degree or equivalent relevant experience required
- Advanced knowledge of FINRA rules and federal securities laws
- Demonstrated investigative experience
- Advanced knowledge of securities markets and member firm operations
- Advanced written and verbal communication skills
- Advanced organizational skills with exceptional attention to detail
- Proficiency in using computer programs, including Microsoft Office
- Effective at building and managing relationships

Compensation and Benefits:

- Competitive salary based on location and other factors
- Comprehensive health, dental, and vision insurance
- Additional insurance options, including life, disability, and legal
- Immediate participation in 401(k) plan with company match
- Eligibility for additional retirement contribution from FINRA
- Tuition reimbursement and other employee benefits
- Generous time-off program, including paid time off, personal days, sick days, and volunteer service days
- Paid holidays (based on full-time schedule)

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator
- Employees must comply with investment restrictions, including disposing of any securities issued by a company on FINRA's Prohibited Company List
- All securities accounts must be disclosed to FINRA and must be moved to a firm that provides an electronic feed within three months of employment
- Employees must also sign FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy

Equal Opportunity Employer:

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. FINRA also abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Join our team at FINRA as a Principal Investigator and help us in our mission to protect investors and promote market integrity in the securities industry. Apply now and be a part of a dynamic and diverse organization.

Not specified

Comprehensive health, dental, and vision insurance, basic life and accidental death and dismemberment insurance, supplemental life and accidental death and dismemberment insurance, short- and long-term disability insurance, long-term care insurance, business travel accident insurance, legal insurance, 401(k) plan with company match, FINRA-funded retirement contribution, tuition reimbursement, 15 days of paid time off, 5 personal days, 9 sick days, 2 volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, 9 paid holidays.

Not specified

Investigative skills, financial analysis, risk assessment, data analysis, report writing, communication, attention to detail, time management, relationship building, mentoring, training, legal compliance, computer proficiency, organizational skills, conflict resolution, negotiation, problem solving, decision making, critical thinking, teamwork, adaptability, confidentiality, attention to detail, investigative techniques.

Bachelor's degree or equivalent relevant experience, advanced degree or law degree preferred.

Submit an application through the FINRA Careers website.

Qualification and Experience Bachelor's degree or equivalent relevant experience, advanced degree or law degree preferred. Advanced knowledge of relevant FINRA rules and federal securities laws. Advanced written and verbal communication skills. 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.

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