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Organization TypePublic Interest
Years of Experience
Date Last Verified
Investigator The candidate conducts routine reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute violations of applicable federal securities laws and/or FINRA rules. The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Conduct comprehensive reviews and investigations of possible violations of FINRA rules and/or the federal securities laws. Demonstrate knowledge of the rules and regulations relevant to assigned matters. Effectively utilize internal FINRA systems and external resources (such as the Internet) to develop information relevant to matters under investigation pursuant to established OWB procedures. Compile and organize information from a variety of sources to be used in the development of investigations of potentially violative activity. Draft high quality requests for documents and information pursuant to FINRA Rule 8210 that require minimal revision. Conduct interviews, including on-the-record testimony when necessary, of registered and associated persons, investors and others to develop a sufficient investigative record. Present investigative findings (orally and in writing) to management in an organized, accurate, concise and timely fashion. Interface with FINRA members, peers, management and outside parties, and provide excellent internal/external customer service in specialized area of regulatory responsibility. Maintain case files according to established OWB procedures.
Qualification and Experience
The candidate should have Bachelorâ€™s degree in Finance, Economics, or Business, Law Degree, or equivalent work experience in the financial industry demonstrating research/analytical skills. Should have 1 year of directly related experience. Must have knowledge of the securities markets and options as well as relevant FINRA rules and the federal securities laws. Should have strong written and verbal communications skills, including an ability to gather evidence through the use of telephone interviews and on-the-record testimony. Must have ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters. Must have strong organizational skills with exceptional attention to detail. Familiarity with the use of computer programs with the full suite of office software applications is required.
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