Attorney in Washington, DC

Public Interest

Washington, DC

Attorney in Washington, DC

Non-practicing Attorney

No

Associate Principal Investigator, NCP - IRG - All FINRA Locations

Salary Information:
- Locations:
- Los Angeles, CA (Minimum Salary $94,200, Maximum Salary $176,000)
- Jersey City, NJ (Minimum Salary $98,300, Maximum Salary $176,000)
- Jericho, NY (Minimum Salary $98,300, Maximum Salary $176,000)
- Denver, CO (Minimum Salary $81,900, Maximum Salary $146,600)
- Dallas, TX (Minimum Salary $81,900, Maximum Salary $146,600)
- Chicago, IL (Minimum Salary $90,100, Maximum Salary $161,300)
- Boston, MA (Minimum Salary $81,900, Maximum Salary $168,600)
- Boca Raton, FL (Salary information not provided)
- Woodbridge, NJ (Salary information not provided)
- Washington, DC (Minimum Salary $94,200, Maximum Salary $168,600)
- San Francisco, CA (Salary information not provided)
- Rockville, MD (Salary information not provided)
- Philadelphia, PA (Salary information not provided)
- New York, NY (Minimum Salary $81,900, Maximum Salary $176,000)
- Time Type: Full time
- Posted on: Posted Today
- Job Requisition ID: R-009265

Organization:
- FINRA's Initial Review Group (IRG) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through various sources, with the goal of identifying and escalating higher-risk matters.

Job Title:
- Associate Principal Investigator, NCP - IRG

Department:
- IRG

Experience Requirements:
- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred.
- Substantive knowledge of relevant FINRA rules and federal securities laws.
- Substantive knowledge of the securities markets and member firm operations.
- Strong written and verbal communication skills.
- Ability to initiate and complete high quality reviews and investigations.
- Strong organizational skills with attention to detail.
- Proficiency in computer programs, including Microsoft Office.

Responsibilities:
- Review triggering event information and clarify firm filing information to determine jurisdiction.
- Gather background intelligence using external and internal resources to assess risk and regulatory implications.
- Conduct interviews with relevant parties to gather facts related to the matter.
- Assess and analyze information to identify potential violations of FINRA rules and federal securities laws.
- Identify and elevate trends to manager.
- Collaborate with other internal and external stakeholders.
- Recommend appropriate assessment dispositions, including closing the matter, issuing cautionary action, promoting to investigation, or referring to internal or external parties.
- Participate in special projects and train and mentor junior staff and new hires.
- Conduct specialized areas of review, as assigned.

Essential Job Functions:
- Analyze information received and identify regulatory issues raised.
- Collect and analyze additional relevant information.
- Collaborate with other internal and external stakeholders.
- Make well-reasoned recommendations for appropriate regulatory response.

Education/Experience Requirements:
- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred.
- Substantive knowledge of relevant FINRA rules and federal securities laws.
- Substantive knowledge of the securities markets and member firm operations.
- Strong written and verbal communication skills.
- Ability to initiate and complete high quality reviews and investigations.
- Strong organizational skills with attention to detail.
- Proficiency in computer programs, including Microsoft Office.

Disclaimer:
- The information provided is designed to indicate the general nature and level of work of the position and is not a comprehensive inventory of all duties, responsibilities, and qualifications required.

Salary and Benefits:
- Salary ranges vary by location and are based on factors such as skill set, level of experience, education, and internal peer compensation comparisons.
- Candidates can expect salary offers within the minimum to mid-point of the salary range.
- FINRA provides comprehensive health, dental, and vision insurance, as well as basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and short- and long-term disability insurance.
- Additional benefits include a 401(k) plan with company match, eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other wellness programs.
- Employees receive 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year).
- Employees also receive 2 volunteer service days and 9 paid holidays (based on full-time schedule).
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (all available after 90 days of employment).

Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator.
- Employees are required to disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements.
- Employees must comply with investment restrictions, including disposing of securities issued by companies on FINRA's Prohibited Company List, by their start date.
- Employees may only maintain securities accounts at firms that provide an electronic feed to **Members Only**
- Employees must also sign FINRA's Employee Confidentiality and Invention Assignment Agreement and adhere to the company's policy on nepotism.

Search Firm Representatives:
- FINRA does not accept unsolicited resumes from search firms without a valid written agreement and task order in place.
- All resumes submitted without a valid agreement and task order will be deemed the sole property of FINRA and no fee will be paid if the candidate is hired.

Accessibility:
- FINRA strives to make our career site accessible to all users.
- If you need a disability-related accommodation for completing the application