Attorney in Woodbridge, NJ

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Public Interest

Woodbridge, NJ

Attorney in Woodbridge, NJ

Non-practicing Attorney

No

Associate Principal Investigator, NCP - IRG - All FINRA Locations:

- SEO friendly job title: Associate Principal Investigator, NCP - IRG - All FINRA Locations
- H1 heading: Join Our Team as Associate Principal Investigator at FINRA
- H2 headings: About the Role, Essential Job Functions, Education/Experience Requirements, Salary Information, Time Off and Paid Leave, Important Information, Search Firm Representatives

About the Role:

FINRA's Initial Review Group (IRG) is seeking an experienced Associate Principal Investigator to join their team. The IRG is responsible for reviewing and analyzing regulatory intelligence received from various sources and escalating higher-risk matters. In this role, the Associate Principal Investigator will perform Intake & Assessment with moderate supervision and demonstrate competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading.

Essential Job Functions:

- Reviews triggering event information and clarifies firm filing information by contacting firm personnel
- Gathers background intelligence using external and internal resources
- Conducts interviews with relevant parties
- Assesses and analyzes information gathered to identify potential violations
- Identifies and elevates apparent trends
- Collaborates with other internal and external stakeholders
- Recommends and drafts appropriate assessment dispositions
- Participates in special projects
- Trains and mentors junior staff and new hires
- Conducts specialized areas of review, as assigned

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
- Strong written and verbal communication skills
- Demonstrated ability to initiate and complete high-quality reviews and investigations
- Strong organizational skills with exceptional attention to detail
- Proficiency using computer programs, including Microsoft Office

Salary Information:

- Full-time position
- Salary range varies by location (see chart below)
- Actual compensation based on various factors, including skill set, level of experience, education, and internal peer compensation comparisons
- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range

Salary Range by Location:

- CA: Minimum Salary $94,200, Maximum Salary $176,000
- CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600
- IL*: Minimum Salary $90,100, Maximum Salary $161,300
- Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000
- MA/WA: Minimum Salary $81,900, Maximum Salary $168,600
- MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
- NJ State: Minimum Salary $90,100, Maximum $176,000
- NY State: Minimum Salary $81,900, Maximum Salary $176,000
- *Including positions performed outside the state but reporting to an office or manager in that state.

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)
- 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)
- Full-time employees receive 9 paid holidays

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 must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions, including disposing of any security on FINRA's Prohibited Company List, by their start date
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA
- Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA and no fee will be paid if the candidate is hired

How to Apply:

- To be considered for this position, please submit an application
- Applications are accepted on an ongoing basis
- FINRA strives 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
- This process is exclusively for inquiries regarding application accommodations

Equal Opportunity Employer:

- All qualified applicants will receive consideration for employment without regard to 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
- FINRA abides by the requirements of 41 CFR ) and 41 CFR )
- These regulations prohibit discrimination against qualified individuals on the basis of disability and protected veteran status, respectively
- FINRA is committed to diversity and inclusion in the workplace

Benefits at FINRA:

- Discretionary bonus in addition to base pay for eligible employees
- Overtime pay for non-exempt employees in accordance with federal, state, or local law
- Comprehensive health, dental, and vision insurance
- Additional insurance options, including life, accidental death and dismemberment, short- and long-term disability, and long-term care
- Immediate participation and

Apr 18, 2025
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