Attorney in Dallas, TX

Public Interest

Dallas, TX

Attorney in Dallas, TX

Non-practicing Attorney

No

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

- Salary information: Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at **Members Only**
- Job title: Senior Principal Investigator, NCP - IRG - All FINRA Locations
- Experience information: Experience in the securities/financial industry with substantive knowledge of regulatory compliance in positions of increasing responsibility.

Key Responsibilities:

- Lead and strategize on the departmental response(s) and processing of inflow matters to IRG stemming from Market Events
- Proactively identify notable and emerging trends, including pattern recognition, and develop strategies to address findings
- Actively collaborate with senior management to identify cross-operational risk and responsibilities during critical volume surges throughout the year
- Develop and maintain department playbooks to ensure consistent strategic plan and process in addressing any anticipated market events
- Research, analyze and prepare essential data point support for operational metrics, including pattern recognition and technology advancements
- Independently lead and execute on highest impact and highest risk events, and/or firms
- Conduct reviews and approvals of Market Event summaries
- Identify and facilitate training needs related to Market Events
- Demonstrate specialization in critical areas, such as products, types of firm businesses and structures, and investigative techniques
- Participate in internal and external meetings, including representing IRG at industry conferences and meetings with other regulators
- Regularly lead and participate in initiatives and special projects

Education/Experience Requirements:

- Bachelor’s degree or equivalent relevant experience required
- Advanced degree or law degree, preferred
- Experience in the securities/financial industry with substantive knowledge of regulatory compliance in positions of increasing responsibility

Knowledge Requirements:

- Advanced-to-Expert knowledge of securities rules and regulations
- Advanced-to-Expert knowledge of firm business models, business lines, customer bases, products and services
- Advanced-to-Expert knowledge of all major review areas and the associated rule requirements
- Intermediate-to-Advanced knowledge of FINRA's risk fundamentals
- Awareness and understanding of internal policies and protocols

Skill Requirements:

- Expert critical thinking, research and analytical skills
- Expert interviewing skills
- Consistently works independently with limited supervision
- Advanced ability to identify and prioritize risk
- Consistently manages time effectively and completes assignments within budgeted time frames
- Proficient in utilizing available internal resources (DCMs, etc.)

Working Conditions:

- Work is normally performed in a hybrid office environment
- Extended hours may be required

Full Time Position:

- Full time
- Posted Yesterday

Job Requisition ID:

- R-009202

End Date:

- End Date: April 17, 2025 (5 days left to apply)

Organization:

- FINRA

Department:

- Initial Review Group (IRG)

Locations:

- 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
- Los Angeles, CA

*Including positions performed outside the state but reporting to an office or manager in that state.

Time Off and Paid Leave:

- 15 days of paid time off
- 5 personal days
- 9 sick days
- 2 volunteer service days (based on full-time schedule)
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave for federal, state or local primary and general elections
- Care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- Nine paid holidays (based on full-time schedule)

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator.
- Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives:

- Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
- A valid written agreement and task order must be in place before any resumes are submitted to **Members Only**
- All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by **Members Only**