Summary:
FINRA, the Financial Industry Regulatory Authority, is seeking an Associate Principal Investigator for their Initial Review Group (IRG) in all FINRA locations. The position requires a Bachelor's degree or equivalent experience, with a preference for an advanced or law degree. The role involves reviewing and analyzing regulatory intelligence received through various sources, such as tips, complaints, and filings, to identify potential violations of FINRA rules and federal securities laws. The investigator will also collaborate with other internal and external stakeholders and make recommendations for regulatory responses.
Job Title: Associate Principal Investigator, NCP - IRG - All FINRA Locations
Experience: Bachelor's degree or equivalent experience, with a preference for advanced or law degree
Salary: Varies depending on location
Job Requisition ID: R-009265
Location: Multiple locations throughout the United States
Time Type: Full time
Posted On: Posted Today
Organization: FINRA (Financial Industry Regulatory Authority)
Department: Initial Review Group (IRG)
Responsibilities:
- Review triggering event information and clarify firm filing information to determine jurisdiction and identify regulatory issues
- 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 and recommend appropriate regulatory responses
- Collaborate with other internal and external stakeholders
- Train and mentor junior staff and new hires
- Conduct specialized areas of review as assigned
Requirements:
- Bachelor's degree or equivalent experience, with a preference for advanced or law degree
- Substantive knowledge of relevant FINRA rules and federal securities laws
- Strong written and verbal communication skills
- Ability to work quickly on multiple time-sensitive matters
- Strong organizational skills with exceptional attention to detail
- Proficiency in using computer programs, including the full suite of Office software applications
Salary Information:
- Varies depending on location
- Includes additional factors such as skill set, level of experience, education, and internal peer comparisons
Benefits:
- Comprehensive health, dental, and vision insurance
- Basic and supplemental life and disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Paid time off, including vacation, personal, sick, and volunteer days
- Other benefits to support employee wellness
Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must comply with the company's policy on nepotism
- Search firms are not accepted in the application process
FINRA is an equal opportunity employer and abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively. ©2025 **Members Only** All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
