SEO Friendly Job Title: Senior Principal Investigator, NCP - IRG - All FINRA Locations
H1 Heading: Join FINRA as a Senior Principal Investigator and Help Protect Investors
H2 Headings:
- Proactively Respond to Significant Increases and Changes in Filings
- Lead and Strategize on Departmental Response to Market Events
- Collaborate with Senior Management to Identify Cross-Operational Risk
- Develop and Maintain Department Playbooks for Consistent Strategic Plan
- Research, Analyze, and Prepare Essential Data Point Support
- Independently Lead and Execute Reviews of Highest Impact and Risk
- Identify and Facilitate Training Needs Related to Market Events
- Demonstrate Specialization in Critical Areas such as AML and Fraud
- Participate in Internal and External Meetings and Initiatives
Bold Headlines:
- Protect Investors and Promote Market Integrity as a Senior Principal Investigator at FINRA
- Be a Part of FINRA's Centralized Unit for Intake, Review, and Analysis of Regulatory Intelligence
- Lead and Strategize on Departmental Response to Market Events at FINRA
- Collaborate with Senior Management to Identify Cross-Operational Risk at FINRA
- Develop and Maintain Department Playbooks for Consistent Strategic Plan at FINRA
- Research, Analyze, and Prepare Essential Data Point Support at FINRA
- Independently Lead and Execute Reviews of Highest Impact and Risk at FINRA
- Identify and Facilitate Training Needs Related to Market Events at FINRA
- Demonstrate Specialization in Critical Areas such as AML and Fraud at FINRA
- Participate in Internal and External Meetings and Initiatives at FINRA
Bullet Points:
- FINRA's Initial Review Group (IRG) is the centralized unit for intake, review, and analysis of regulatory intelligence
- The Senior Principal Investigator leads strategic and collaborative efforts for IRG
- Proactively identify and address notable and emerging trends
- Develop and maintain department playbooks for consistent strategic plan and process
- Conduct reviews and approvals of Market Event summaries
- Actively participate in initiatives and special projects
- Bachelor's degree or equivalent experience required
- Expert knowledge of relevant FINRA rules and federal securities laws
- Highly advanced written and verbal communication skills
- Work is normally performed in a hybrid office environment
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 candidates can consider their growth potential while at **Members Only**
Job Title and Experience Information: Senior Principal Investigator, Bachelor's degree or equivalent relevant experience required. Advanced degree or law degree preferred.
Job Requisition ID: R-009202
Job Type: Full time
Time Left to Apply: End Date: April 17, 2025 (5 days left to apply)
Organization: FINRA (replace company name with organization)
Department: Initial Review Group (replace department name with department)
Locations:
- Boston, MA
- Jersey City, NJ
- Jericho, NY
- Denver, CO
- Dallas, TX
- Boca Raton, FL
- Woodbridge, NJ
- Washington, DC
- Chicago, IL
- San Francisco, CA
- Rockville, MD
- Philadelphia, PA
- New York, NY
- Los Angeles, CA
Job Posting Date: Posted Yesterday
Full-Time Position at FINRA: Join our team as a full-time Senior Principal Investigator at **Members Only**
Join FINRA as a Senior Principal Investigator and help protect investors and promote market integrity. As a part of our team, you will be a member of FINRA's Initial Review Group (IRG), the centralized unit for intake, review, and analysis of regulatory intelligence. We are looking for a highly skilled and motivated individual to lead and strategize on the departmental response to market events and collaborate with senior management to identify cross-operational risk.
As a Senior Principal Investigator, you will have the opportunity to proactively identify and address notable and emerging trends, develop and maintain department playbooks for consistent strategic plan and process, and independently lead and execute reviews of highest impact and risk. You will also have the chance to participate in internal and external meetings and initiatives, represent IRG at industry conferences, and contribute to the reporting of trends, metrics, and analysis of Market Events.
Education and 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.
- Expert knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
Essential Job Functions:
- 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.
- 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.
- Independently 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 and initiatives.
- Regularly lead and participate in initiatives and special projects.
Working Conditions:
- Work is normally performed in a hybrid office environment.
- Extended hours may be required.
Join our team as a Senior Principal Investigator and be a part of a dynamic and diverse organization dedicated to protecting investors and promoting market integrity. Apply now and be
