Associate Principal Investigator - Ncp - Irg

Full-time

No

Summary:

Organization: FINRA
Job Title: Associate Principal Investigator - NCP - IRG - ALL FINRA locations
Experience: Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
Salary: Eligible for discretionary bonus in addition to base pay; comprehensive health, dental, and vision insurance; additional insurance options; immediate participation and vesting in 401(k) plan with company match; eligibility for participation in additional FINRA-funded retirement contribution; tuition reimbursement; generous time-off program; two volunteer service days; paid leave including military leave, jury duty leave, bereavement leave, and more; nine paid holidays based on full-time schedule

Job Description:

FINRA's Initial Review Group (IRG) is seeking an Associate Principal Investigator to join their team at ALL FINRA locations. The successful candidate will perform intake and assessment with moderate supervision, demonstrating competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading. The main responsibilities of this role include analyzing information received from various sources, gathering additional relevant information, conducting interviews, assessing and analyzing information, collaborating with internal and external stakeholders, and making recommendations for appropriate regulatory response. The Associate Principal Investigator will also participate in special projects and train and mentor junior staff and new hires.

Requirements:

- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
- Substantive knowledge of relevant FINRA rules and federal securities laws
- Strong written and verbal communication skills
- Ability to initiate and complete high quality reviews and investigations
- Strong organizational skills with exceptional attention to detail
- Proficiency in computer programs and the full suite of Office software applications

Other Information:

- This position is full-time
- Applications are accepted on an ongoing basis
- The information provided is not a comprehensive inventory of all duties, responsibilities, and qualifications required

How to Apply:

To be considered for this position, please submit an application. If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA is committed 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 exclusively for inquiries regarding application accommodations.

Compensation and Benefits:

- Eligible for discretionary bonus in addition to base pay
- Comprehensive health, dental, and vision insurance
- Additional insurance options including life, accidental death and dismemberment, short- and long-term disability, and more
- Immediate participation and vesting in 401(k) plan with company match
- Eligibility for participation in additional FINRA-funded retirement contribution
- Tuition reimbursement
- Generous time-off program including 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year)
- Two volunteer service days (based on full-time schedule)
- Paid leave including military leave, jury duty leave, bereavement leave, and more
- Nine paid holidays (based on full-time schedule)

Important Information:

As a securities regulator, FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures. Employees are required to disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements. All accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with these restrictions by the date they begin employment with FINRA. Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA, and must move accounts from other firms within three months of beginning employment.

Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

Thank you for considering a career with FINRA. We look forward to reviewing your application.

reviews triggering event information and clarifies firm filing information by contacting firm personnel in order to determine jurisdiction of individuals, products, accounts, and firms identified in triggering events
gathers background intelligence using external and internal resources (including people and systems) in order to assess risk and regulatory implications and determine appropriate intake disposition
performs additional outreach, as needed, including requests for additional information from the complaint/tip submitter and/or firm in order to analyze the regulatory intelligence
conducts interviews with relevant parties (e. if you need a disability-related accommodation for completing the application process, please or by email at employeerelations@finra. 4865 or by email at

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