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Los Angeles, CA

Attorney in Los Angeles, CA

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Associate Principal Investigator, NCP - IRG - All FINRA Locations
Job Title: Associate Principal Investigator, NCP - IRG
Organization: FINRA
Department: Initial Review Group (IRG)
Location: All FINRA Locations
Experience: Bachelor's degree or equivalent relevant experience; required. Advanced degree or law degree, preferred.

Job Description:
The Associate Principal Investigator, NCP - IRG, will be responsible for performing intake and assessment of regulatory intelligence received through various sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators. This role requires a strong understanding of FINRA rules, federal securities laws, and the securities markets and trading. The Associate Principal Investigator will work closely with other internal and external stakeholders to quickly identify and escalate higher-risk matters.

Key Responsibilities:
- Analyze information received and identify regulatory issues raised to determine jurisdiction and potential violations
- Gather and analyze additional relevant information from internal and external systems to assess risk to the investing public and the securities markets
- Collaborate with other internal and external stakeholders to share relevant information
- Make recommendations for appropriate regulatory response, such as referral for further investigation or closing the matter
- Conduct interviews with relevant parties to gather facts related to the matter
- Identify and elevate trends to management and internal FINRA groups
- Train and mentor junior staff and new hires
- Conduct specialized reviews in assigned areas

Requirements:
- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
- 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 fast-paced environment
- Strong organizational skills and attention to detail
- Proficiency in using computer programs, including Microsoft Office

Salary Information:
- Los Angeles, CA: Minimum Salary $94,200, Maximum Salary $176,000
- Jersey City, NJ: Minimum Salary $98,300, Maximum Salary $176,000
- Jericho, NY: Minimum Salary $81,900, Maximum Salary $146,600
- Denver, CO: Minimum Salary $81,900, Maximum Salary $146,600
- Dallas, TX: Minimum Salary $81,900, Maximum Salary $146,600
- Chicago, IL: Minimum Salary $90,100, Maximum Salary $161,300
- Boston, MA: Minimum Salary $81,900, Maximum Salary $168,600
- Boca Raton, FL: Minimum Salary $81,900, Maximum Salary $168,600
- Woodbridge, NJ: Minimum Salary $81,900, Maximum Salary $146,600
- Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
- San Francisco, CA: Minimum Salary $94,200, Maximum Salary $176,000
- Rockville, MD: Minimum Salary $94,200, Maximum Salary $168,600
- Philadelphia, PA: Minimum Salary $81,900, Maximum Salary $176,000
- New York, NY: Minimum Salary $81,900, Maximum Salary $176,000

Time Type:
Full time

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