Attorney in Boston, MA

Public Interest

Boston, MA

Attorney in Boston, MA

Non-practicing Attorney

Max 5 yrs required

No

The NCP Department is seeking an experienced, highly motivated attorney with a strong background in securities regulation to serve as an Associate Principal Investigator in the Initial Review Group (IRG). The ideal candidate will have experience with securities regulation, including a deep understanding of FINRA rules and the federal securities laws. They will have a demonstrated ability to conduct thorough and efficient investigations, analyze complex information, and make well-reasoned recommendations. They will also possess strong written and verbal communication skills, as well as the ability to work collaboratively with internal and external stakeholders.

Job Title: Associate Principal Investigator, NCP - IRG - All FINRA Locations
Experience: Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
Salary: Varies based on location and factors such as skill set, experience, and education

Overview:
- The Associate Principal Investigator, NCP, will perform Intake & Assessment with moderate supervision and demonstrate competency in investigative techniques.
- They will be responsible for analyzing information received and identifying regulatory issues, collecting and analyzing additional relevant information, and making recommendations for the appropriate regulatory response.
- This role requires a strong understanding of FINRA rules and federal securities laws, as well as the ability to work quickly on multiple time-sensitive matters.
- The Associate Principal Investigator will also collaborate with internal and external stakeholders, train and mentor junior staff, and conduct specialized areas of review as assigned.

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 determine appropriate intake disposition.
- Conduct interviews with relevant parties to gather facts related to the matter.
- Analyze information gathered to identify potential violations and trends, and collaborate with other FINRA departments as needed.
- Draft appropriate assessment dispositions, including closing the matter, issuing cautionary action, promoting to investigation, or referring to internal or external parties.
- Participate in special projects to enhance program.
- Train and mentor junior staff and new hires.
- Conduct specialized areas of review as assigned.

Requirements:
- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred.
- Strong knowledge of FINRA rules and federal securities laws.
- Familiarity with securities markets and member firm operations and records.
- Excellent written and verbal communication skills.
- Ability to work quickly on multiple time-sensitive matters.
- Strong organizational skills and attention to detail.
- Proficiency in Microsoft Office.

Salary Information (Varies 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.

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

H1 and H2 Friendly Headings:
H1: Join FINRA as an Associate Principal Investigator in the NCP Department
H2: Overview of the Role
H2: Responsibilities of the Associate Principal Investigator
H2: Requirements for the Position
H2: Salary Information by Location

Bold Headlines:
FINRA is seeking an experienced attorney to join our team as an Associate Principal Investigator.
In this role, you will be responsible for analyzing regulatory intelligence and making recommendations for appropriate responses.
We are looking for candidates with a strong understanding of FINRA rules and federal securities laws.
This position offers a competitive salary based on location and other factors.
Join us and make a difference in the financial industry.