Associate Principal Investigator, NCP - IRG - All FINRA Locations (Open)
Full time
Job Requisition ID: R-009227
FINRA's Initial Review Group (IRG) is seeking an experienced and knowledgeable Associate Principal Investigator to join our team. The IRG is responsible for reviewing and analyzing regulatory intelligence from various sources, with the goal of identifying and addressing higher-risk matters in a timely manner. As an Associate Principal Investigator, you will play a critical role in this process by performing Intake & Assessment and making recommendations for the appropriate regulatory response.
Key Responsibilities:
- Analyze triggering event information and gather additional relevant information from internal and external sources
- Conduct interviews with relevant parties to gather facts related to the matter
- Assess and analyze information to identify potential violations of FINRA rules and federal securities laws
- Collaborate with other internal and external stakeholders to share relevant information
- Make well-reasoned recommendations for the appropriate regulatory response
Qualifications:
- Bachelor's degree or equivalent relevant experience
- Substantive knowledge of relevant FINRA rules and federal securities laws
- Strong written and verbal communication skills
- Ability to initiate and complete high quality reviews and investigations in a timely manner
- Strong organizational skills with exceptional attention to detail
- Proficiency with computer programs, including the full suite of Office software applications
Salary Information:
- California: Minimum salary $94,200, maximum salary $176,000
- Colorado/Hawaii/Minnesota/Vermont: Minimum salary $81,900, maximum salary $146,600
- Illinois: Minimum salary $90,100, maximum salary $161,300
- Jersey City, NJ/New York City, NY: Minimum salary $98,300, maximum salary $176,000
- Massachusetts/Washington: Minimum salary $81,900, maximum salary $168,600
- Maryland/Washington, DC: Minimum salary $94,200, maximum salary $168,600
- New Jersey State: Minimum salary $90,100, maximum salary $176,000
- New York State: Minimum salary $81,900, maximum salary $176,000
Other Perks:
- Comprehensive health, dental, and vision insurance
- Life and disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Commuter benefits
- Two volunteer service days
- Generous time-off program
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 may only maintain securities accounts at firms that provide an electronic feed of data to **Members Only**
- 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.
Join our team and make a difference in the financial industry! Apply now at .
