Attorney in Jersey City, NJ

Public Interest

Jersey City, NJ

Attorney in Jersey City, NJ

Non-practicing Attorney

No

Summary:

Organization: FINRA
Job Title: Associate Principal Investigator, NCP - IRG
Locations: Multiple locations, including Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boca Raton, FL; Woodbridge, NJ; Washington, DC; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; and Los Angeles, CA
Time Type: Full time
Posted On: Posted Today
Job Requisition ID: R-009227

FINRA's Initial Review Group (IRG) is responsible for reviewing and analyzing regulatory intelligence from various sources and escalating higher-risk matters. The Associate Principal Investigator, IRG, will conduct intake and assessments, gather information, and make recommendations for regulatory responses. This role requires knowledge of FINRA rules, federal securities laws, and the securities markets.

Responsibilities include:

- Reviewing and analyzing regulatory intelligence
- Contacting firm personnel to clarify information
- Gathering background intelligence
- Conducting interviews with relevant parties
- Identifying and elevating trends
- Collaborating with internal and external stakeholders
- Making recommendations for regulatory responses
- Participating in special projects and training junior staff
- Conducting specialized reviews

Education/Experience Requirements:

- Bachelor's degree or equivalent experience
- Knowledge of FINRA rules and federal securities laws
- Knowledge of securities markets and firm operations
- Strong communication skills
- Ability to work on multiple time-sensitive matters
- Strong organizational skills
- Proficiency in computer programs

Salary Information:

- Salary ranges vary based on location and other factors
- Offers typically fall within the minimum to mid-point of the range
- Full pay ranges are provided for consideration of growth potential

Other Information:

- Applications are accepted on an ongoing basis
- This job posting may not link directly to the FINRA Careers site
- FINRA strives to make the career site accessible to all users
- Disability-related accommodations are available for the application process

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic and supplemental life, accidental death and dismemberment insurance
- Short and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance programs
- Wellness programs
- Paid time off, personal days, and sick days
- Volunteer service days
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- Paid holidays

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must disclose and authorize FINRA to access brokerage accounts
- Securities accounts must be maintained at firms that provide an electronic feed to FINRA
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the nepotism policy

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 an agreement will become 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 ) to prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.