Attorney in New York City, NY

Public Interest

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

No

Associate Principal Investigator, NCP - IRG - All FINRA Locations

FINRA is seeking a highly experienced and motivated Associate Principal Investigator to join our Initial Review Group (IRG) team. As a centralized unit responsible for reviewing and analyzing regulatory intelligence, IRG is a critical component of FINRA's regulatory program. This role offers the opportunity to work on a variety of matters, collaborate with internal and external stakeholders, and make well-reasoned recommendations for regulatory response. The successful candidate will have a strong understanding of FINRA rules, federal securities laws, and investigative techniques, as well as excellent communication and analytical skills.

Responsibilities:

- Review and analyze triggering event information to determine jurisdiction and potential violations of FINRA rules and federal securities laws
- Gather background intelligence using internal and external resources to assess risk and determine appropriate intake disposition
- Conduct interviews with relevant parties to gather facts related to the matter
- Collaborate with other internal and external stakeholders to share relevant information
- Make well-reasoned recommendations for regulatory response, including referral to other FINRA departments or external parties
- Train and mentor junior staff and new hires
- Conduct specialized reviews, as assigned
- Participate in special projects to enhance the IRG program

Requirements:

- Bachelor's degree or equivalent experience required, advanced degree or law degree preferred
- Advanced knowledge of FINRA rules and federal securities laws
- Strong understanding of securities markets and member firm operations
- Excellent written and verbal communication skills
- Ability to initiate and complete high quality reviews and investigations in a timely manner
- Strong organizational skills and attention to detail
- Proficiency with Microsoft Office applications
- Ability to build and manage relationships effectively

Salary Information:

The salary range for this position varies depending on location, skill set, and level of experience. Below are the minimum and maximum salary ranges for various locations:

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

Benefits:

In addition to competitive salary ranges, FINRA offers comprehensive benefits to support employee wellness. These include:

- Health, dental, and vision insurance
- Basic and supplemental life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance program
- Wellness programs

Time Off and Paid Leave:

FINRA values employee wellness and offers generous time off and paid leave options, including:

- 15 days of paid time off
- 5 personal days
- 9 sick days (all pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave
- Care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

Important Information:

FINRA is committed to promoting diversity and providing equal employment opportunities to all employees. We do not discriminate based on 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.

As a securities regulator, FINRA has certain restrictions and requirements for its employees, including financial disclosures and restrictions on investments. Candidates must comply with these requirements, including disposing of any securities issued by a company on FINRA's Prohibited Company List, before beginning employment with **MEMBERS ONLY**SIGN UP NOW***.

FINRA also requires all employees to sign an Employee Confidentiality and Invention Assignment Agreement and abide by its policy on nepotism.

Search Firm Representatives:

FINRA does not accept unsolicited resumes from search firms. Any resumes submitted without a valid written agreement and task order will be considered the sole property of FINRA, and no fee will be paid in the event a candidate is hired as a result of the referral.

To be considered for this exciting opportunity, please submit an application through our career site. Application review will occur on an ongoing basis.

FINRA is dedicated to making our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at . Please note that this process is only for inquiries regarding application accommodations.