Public Interest
San Francisco, CA
Attorney in San Francisco, CA
Non-practicing Attorney
No
Associate Principal Investigator, NCP - IRG - All FINRA Locations
Salary Information:
- Minimum Salary: $81,900
- Maximum Salary: $176,000
Job Title: Associate Principal Investigator, NCP - IRG
Experience: Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
Organization: FINRA
Department: Initial Review Group (IRG)
Locations:
- Los Angeles, CA
- Jersey City, NJ
- Jericho, NY
- Denver, CO
- Dallas, TX
- Chicago, IL
- Boston, MA
- Boca Raton, FL
- Woodbridge, NJ
- Washington, DC
- San Francisco, CA
- Rockville, MD
- Philadelphia, PA
- New York, NY
Time Type: Full time
Posted On: Posted Today
Job Requisition ID: R-009265
FINRA's Initial Review Group (IRG) is responsible for receiving, reviewing, and analyzing regulatory intelligence from various sources to identify and escalate higher-risk matters. The Associate Principal Investigator will perform Intake & Assessment with moderate supervision and must have knowledge of investigative techniques, FINRA rules, and federal securities laws.
Essential Job Functions:
- Review triggering event information and clarify firm filing information by contacting firm personnel
- 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
- Assess and analyze information to identify potential rule violations and determine if further investigation is necessary
- Collaborate with other internal and external stakeholders as needed
- Make well-reasoned recommendations for appropriate regulatory response
- Participate in special projects as assigned
- Train and mentor junior staff
- Conduct specialized reviews as assigned
Education/Experience Requirements:
- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
- Substantive knowledge of 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 attention to detail
- Proficiency in Microsoft Office
Salary Information for Locations:
- 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 Salary $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.
Benefits:
- Full pay ranges provided for growth potential
- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, and disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Other benefits supporting employee wellness
Time Off and Paid Leave:
- 15 days of paid time off, 5 personal days, and 9 sick days
- 2 volunteer service days
- Other paid leave includes military leave, jury duty leave, bereavement leave, and more
- Full-time employees receive 9 paid holidays
Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
FINRA is an Equal Opportunity and Affirmative Action 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 ) prohibiting discrimination against qualified individuals on the basis of disability and protected veterans, respectively
©2025 **Members Only** All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
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To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
Apr 18, 2025
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