Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileInvestigator - OFDMI - Insider Trading ORSA Duties: Analyze trading activity in options for indications of potential insider trading. Conduct routine reviews and investigations of possible violations of FINRA rules and the federal securities laws. Conduct telephone interviews, including assisting with on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Gather evidence through timely, well-written requests for information from FINRA members and other constituents. Compile and organize information from a variety of sources to be used in the development of investigations of potentially fraudulent activity. Identify situations in reviews and investigations that may impact the integrity of the U.S. options markets. Develop an understanding of the investigative techniques utilized in the area of insider trading surveillance as well as the relevant FINRA rules and federal securities laws. Present investigative findings (orally and in writing) to management and other constituents in an organized, concise and timely fashion. Utilize computer resources and software applications for data and information analysis pursuant to department procedures. Interface with FINRA members, peers, management and outside parties, and provide excellent internal and external customer service in specialized area of regulatory responsibility.
Qualification and Experience
Qualifications: Bachelor’s degree in Finance, Economics, or Business, Law Degree, or equivalent work experience in the financial industry demonstrating research/analytical skills. 1+ years of directly related experience. Knowledge of the securities markets and options as well as relevant FINRA rules and the federal securities laws. Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone interviews and on-the-record testimony. Ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters. Strong organizational skills with exceptional attention to detail. Familiarity with the use of computer programs with the full suite of office software applications.
Job Number: 006369
10 S La Salle Street
Chicago, IL 60603-1000