Associate Principal Investigator, NCP - IRG - All FINRA Locations
The Associate Principal Investigator, NCP - IRG, is responsible for reviewing and analyzing regulatory intelligence received through various sources, and making recommendations for appropriate regulatory responses. This includes conducting investigations, collaborating with internal and external stakeholders, and drafting assessment dispositions. The position requires a Bachelor's degree and knowledge of relevant FINRA rules and federal securities laws. The salary range for this position varies based on location and other factors, and includes benefits such as health insurance, retirement contributions, and paid time off.
Essential Job Functions:
- Reviews triggering event information and clarifies firm filing information to determine jurisdiction and potential violations of FINRA rules and federal securities laws.
- Gathers background intelligence using internal and external resources to assess risk and determine appropriate intake disposition.
- Conducts interviews with relevant parties to gather facts related to the matter.
- Collaborates with other FINRA departments and external stakeholders to share information and identify trends.
- Drafts appropriate assessment dispositions, such as closing the matter or referring it for further investigation.
- Trains and mentors junior staff and conducts specialized reviews as assigned.
Education/Experience Requirements:
- Bachelor's degree or equivalent 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 work quickly on multiple time-sensitive matters.
- Strong organizational skills and proficiency with computer programs.
Salary Information:
The salary range for this position varies based on location and other factors, and includes benefits such as health insurance, retirement contributions, and paid time off.
- 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.
Salary offers may range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges to allow candidates to consider their potential for growth within the organization.
How to Apply:
To be considered for this position, please submit an application on the FINRA Careers site. Applications are accepted on an ongoing basis.
Important Information:
This job posting is not a comprehensive inventory of all duties, responsibilities, and qualifications required for the position.
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Benefits:
FINRA provides a comprehensive benefits package for its employees, including health, dental, and vision insurance, life and disability insurance, retirement contributions, and paid time off. Employees are also eligible for bonuses and overtime pay.
Time Off and Paid Leave:
FINRA values the health and wellness of its employees and offers a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year). Employees are also encouraged to volunteer in their communities, with two volunteer service days provided. Other paid leave includes military leave, jury duty leave, bereavement leave, and time off for voting and election duties.
Important Information:
As a securities regulator, FINRA imposes restrictions on employees' investments and requires financial disclosures. Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to **Members Only** Employees are also subject to the Code of Conduct and policy on nepotism.
Search Firm Representatives:
FINRA does not accept unsolicited resumes from search firms for this position. A valid written agreement and task order must be in place before any resumes are submitted. Resumes submitted without a valid agreement and task order will become property of FINRA and no fee will be paid if the candidate is hired.
FINRA is an equal opportunity employer and does not discriminate based on 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 also abides by regulations prohibiting discrimination against qualified individuals with disabilities and protected veterans.
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