Attorney in Denver, CO

Public Interest

Denver, CO

Attorney in Denver, CO

Non-practicing Attorney

No

Associate Principal Investigator, NCP - IRG - All FINRA Locations

FINRA is seeking a highly skilled and experienced Associate Principal Investigator to join our Initial Review Group (IRG) team. This role will be responsible for performing Intake & Assessment with minimal supervision, and demonstrating competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading. The successful candidate will have a Bachelor's degree or equivalent relevant experience, advanced knowledge of relevant FINRA rules and federal securities laws, and a demonstrated investigative experience.

Key Responsibilities:

- Review triggering event information and clarify firm filing information by contacting firm personnel to determine jurisdiction of individuals, products, accounts, and firms identified in triggering events.
- Gather background intelligence using external and internal resources to assess risk and regulatory implications and determine appropriate intake disposition.
- Conduct interviews with relevant parties to gather facts related to the matter.
- Assess and analyze information gathered to identify potential violations of FINRA rules and/or federal securities laws.
- Identify and elevate apparent trends to the manager, to be raised to internal FINRA groups.
- Collaborate with internal and external stakeholders to share relevant information.
- Recommend and draft appropriate assessment dispositions, including closing the matter or referring it to internal or external parties.
- Train and mentor junior staff and new hires.
- Conduct specialized areas of review, as assigned.

Education and Experience Requirements:

- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred.
- Advanced knowledge of relevant FINRA rules and federal securities laws.
- Demonstrated investigative experience.
- Advanced written and verbal communication skills.
- Advanced ability to initiate and complete high-quality reviews and investigations.
- 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.

Salary Information:

- California: Minimum Salary $109,600, Maximum Salary $206,200
- Colorado, Hawaii, Minnesota, Vermont: Minimum Salary $95,300, Maximum Salary $171,800
- Illinois: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/New York City, NY: Minimum Salary $114,300, Maximum Salary $206,200
- Massachusetts/Washington: Minimum Salary $95,300, Maximum Salary $197,600
- Maryland/Washington, DC: Minimum Salary $109,600, Maximum Salary $197,600
- New Jersey State: Minimum Salary $104,900, Maximum Salary $206,200
- New York State: Minimum Salary $95,300, Maximum Salary $206,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance.
- Short- and long-term disability, long-term care, business travel accident, and disability and legal insurance.
- Immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (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, and care of a family member leave.
- Childbirth and parental leave (available after 90 days of employment).
- 9 paid holidays.

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator.
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range.
- Employees may be eligible for a discretionary bonus in addition to base pay.
- Non-exempt employees are eligible for overtime pay.
- FINRA provides full pay ranges for candidates to consider their growth potential while at **MEMBERS ONLY**SIGN UP NOW***.

Application Process:

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

About FINRA:

FINRA is a not-for-profit organization authorized by Congress to protect America's investors by making sure the securities industry operates fairly and honestly. We oversee more than 3,700 brokerage firms, 630,000 registered representatives, and 66 stock markets. Our mission is to safeguard the investing public against fraud and bad practices.

Our Culture:

At FINRA, we value diversity and inclusion in our workplace. We strive to create an atmosphere where all employees are respected, treated fairly, and given equal opportunities to succeed. We believe that diversity and inclusion are essential to building a strong community and providing a positive work environment for our employees.

Join Our Team:

If you are interested in joining our team, please submit an application. We are an equal opportunity employer and do not discriminate on the basis of 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. We abide by the requirements of 41 CFR ) and 41 CFR ) and strive to make 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.