Attorney in Denver, CO

Public Interest

Denver, CO

Attorney in Denver, CO

Non-practicing Attorney

No

SEO Friendly Job Title: Associate Principal Investigator, NCP - IRG - All FINRA Locations

H1 Heading: Join Our Team as an Associate Principal Investigator at FINRA

H2 Headings:
- Essential Job Functions
- Education/Experience Requirements
- Salary Information
- Time Off and Paid Leave
- Important Information
- Search Firm Representatives

Bold Headlines:
- FINRA's Initial Review Group
- Centralized Unit for Regulatory Intelligence
- Essential Job Functions
- Education/Experience Requirements
- Salary Information
- Time Off and Paid Leave
- Important Information
- Search Firm Representatives

Organization: FINRA (Financial Industry Regulatory Authority)
Department: Initial Review Group (IRG)
Job Requisition ID: R-009174

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Locations:
- Woodbridge, NJ
- Jersey City, NJ
- Jericho, NY
- Denver, CO
- Dallas, TX
- Boston, MA
- Boca Raton, FL
- Washington, DC
- Chicago (North Wacker Drive)
- San Francisco, CA
- Rockville, MD
- Philadelphia, PA
- New York, NY
- Los Angeles, CA

Time Type: Full Time
Posted On: Posted Today

Job Description:
- Perform Intake & Assessment with moderate supervision
- Analyze information received and identify regulatory issues raised
- Collect and analyze additional relevant information
- Collaborate with internal and external stakeholders
- Make well-reasoned recommendations for appropriate regulatory response
- Review triggering event information and clarify firm filing information
- Gather background intelligence using external and internal resources
- Perform additional outreach as needed
- Conduct interviews with relevant parties
- Assess and analyze information gathered
- Identify and elevate apparent trends
- Collaborate with other FINRA departments
- Participate in special projects
- Train and mentor junior staff and new hires
- Conduct specialized areas of review

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
- Ability to initiate and complete high quality reviews and investigations
- Strong organizational skills with exceptional attention to detail
- Proficiency in computer programs, including Microsoft Office

Salary Information:
- Salary ranges vary by location and other factors
- Candidates can expect offers ranging from minimum to mid-point of salary range
- Full pay ranges provided for consideration of growth potential

Time Off and Paid Leave:
- 15 days of paid time off, 5 personal days, and 9 sick days
- 2 volunteer service days
- 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

Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements
- Employees must comply with investment restrictions and move securities accounts to a firm that provides an electronic feed within 3 months of employment
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms
- A valid written agreement and task order must be in place before submitting resumes
- Resumes submitted without a valid agreement and task order will be deemed the sole property of FINRA

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 )

Copyright:
- ©2025 **Members Only** All rights reserved.
- FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.