Attorney in Chicago, IL

Public Interest

Chicago, IL

Attorney in Chicago, IL

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Senior Principal Investigator, NCP – IRG – All FINRA Locations:

- SEO friendly job title: Senior Principal Investigator at FINRA
- H1 heading: Join FINRA as a Senior Principal Investigator
- H2 heading: About the Role: Senior Principal Investigator, NCP - IRG - All FINRA Locations

FINRA, or Financial Industry Regulatory Authority, is currently hiring for the position of Senior Principal Investigator at all of its locations across the United States. This is a full-time position with a competitive salary, and candidates can expect salary offers that range from the minimum to the mid-point of the salary range.

As a Senior Principal Investigator, you will be part of FINRA's Initial Review Group (IRG), which is responsible for the intake, review, and analysis of regulatory intelligence received through various sources. This includes internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators. The role of the Senior Principal Investigator is to quickly identify and escalate higher-risk matters, as well as lead strategic and collaborative efforts for IRG to proactively respond to significant increases and changes in filings due to market events.

The position is available in various locations across the country, including Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago (North Wacker Drive); San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; and Los Angeles, CA. The job is posted on various job boards and has a time left to apply of 5 days as of the posting of this job description.

The ideal candidate for this position will have a Bachelor's degree or equivalent relevant experience, with an advanced or law degree preferred. They should also have experience in the securities/financial industry with a strong knowledge of regulatory compliance. The candidate should also have expert knowledge of relevant FINRA rules and federal securities laws, as well as the securities markets and member firm operations.

As a Senior Principal Investigator, your essential job functions will include leading and strategizing on the departmental response to and processing of inflow matters to IRG stemming from market events, proactively identifying notable and emerging trends, collaborating with senior management to identify cross-operational risk, and developing and maintaining department playbooks to ensure consistent strategic plans and processes. You will also be responsible for conducting reviews and approvals of Market Event summaries and identifying and facilitating training needs related to Market Events.

The role also requires advanced-to-expert knowledge of securities rules and regulations, firm business models, business lines, customer bases, products and services, and FINRA's risk fundamentals. The candidate should also have a high level of skill in critical thinking, research, and analytical skills, as well as expert interviewing skills. They should also be able to work independently with limited supervision and manage time effectively.

The work environment for this position is normally a hybrid office environment, with extended hours occasionally required. FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, life and disability insurance, a 401(k) plan with company match, tuition reimbursement, and other benefits that support employee wellness.

To be considered for this position, please submit an application through FINRA's career site. FINRA strives to make its career site accessible to all users, and if you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team.

FINRA is an equal opportunity employer, and 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 also abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

In addition to the above job description, here are some key points to note about the Senior Principal Investigator position at FINRA:

- The job is posted on various job boards and has a time left to apply of 5 days as of the posting of this job description.
- The position is available in various locations across the country, including Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago (North Wacker Drive); San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; and Los Angeles, CA.
- The ideal candidate will have a Bachelor's degree or equivalent relevant experience, with an advanced or law degree preferred. They should also have experience in the securities/financial industry with a strong knowledge of regulatory compliance.
- As a Senior Principal Investigator, your essential job functions will include leading and strategizing on the departmental response to and processing of inflow matters to IRG stemming from market events, proactively identifying notable and emerging trends, collaborating with senior management to identify cross-operational risk, and developing and maintaining department playbooks to ensure consistent strategic plans and processes.
- The role also requires advanced-to-expert knowledge of securities rules and regulations, firm business models, business lines, customer bases, products and services, and FINRA's risk fundamentals.
- The work environment for this position is normally a hybrid office environment, with extended hours occasionally required.
- FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, life and disability insurance, a 401(k) plan with company match, tuition reimbursement, and other benefits that support employee wellness.
- To be considered for this position, please submit an application through FINRA's career site.
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