Attorney in Boca Raton, FL

Public Interest

Boca Raton, FL

Attorney in Boca Raton, FL

Non-practicing Attorney

No

Principal Investigator, NCP - Any FINRA Location

Salary Information:
- Salary range varies by location, skill set, level of experience, education, and internal peer compensation comparisons.
- Candidates can expect salary offers that range from the minimum to the mid-point of the salary range.
- Full pay ranges are provided for candidates to consider their growth potential at **MEMBERS ONLY**SIGN UP NOW***.
- Employees may also be eligible for a discretionary bonus and overtime pay, as well as comprehensive health, dental, and vision insurance, life and disability insurance, retirement contributions, tuition reimbursement, and other benefits.

Job Title:
Principal Investigator, NCP

Experience Information:
- Bachelor's degree or equivalent relevant experience required.
- Advanced degree or law degree preferred.
- Advanced knowledge of relevant FINRA rules and federal securities laws.
- Demonstrated investigative experience.
- Advanced written and verbal communication skills.
- Advanced ability to initiate and complete high-quality reviews and investigations.
- Advanced organizational skills with exceptional attention to detail.
- Advanced proficiency using computer programs, including the full suite of Office software applications.
- Effective at building and managing relationships.

H1 and H2 Friendly Headings:
H1: Principal Investigator, NCP - Any FINRA Location

H2: Essential Job Functions
H2: Education/Experience Requirements
H2: Salary Information
H2: Job Title
H2: Experience Information

Bold Headlines:
- Principal Investigator, NCP: Lead investigations of varying risk and complexity.
- Extensive Background Searches: Conduct thorough background searches of FINRA member firms and registered representatives.
- Regulatory Intelligence: Gather intelligence using internal systems and 8210 record requests.
- Record Compilation and Analysis: Request, compile, analyze, and assess records in support of investigations.
- On-The-Record Interviews: Prepare for and participate in interviews with relevant parties.
- Risk Identification: Proactively identify risk using various internal and external systems.
- Case Development: Develop cases in collaboration with Enforcement.
- Data Analysis: Conduct advanced in-depth data analysis for investigations.
- Training and Mentoring: Train and mentor junior staff and new hires.
- Special Projects: Participate in special projects as assigned.
- Knowledge of Securities Markets: Utilize advanced knowledge of securities markets and member firm operations.
- Notable Trends: Identify notable and emerging trends related to Firm Groupings/Sub-Groupings or FINRA initiatives.
- Relationship Building: Build and manage relationships with colleagues and stakeholders.

Bullet Points:
- Independently lead investigations of varying risk and complexity.
- Conduct extensive background searches of FINRA member firms and registered representatives.
- Gather regulatory intelligence using internal systems and 8210 record requests.
- Request, compile, analyze, and assess records in support of investigations.
- Prepare for and participate in On-The-Record interviews.
- Conduct and facilitate interviews of relevant parties.
- Proactively escalate potential formal issues to management.
- Identify and memorialize facts and evidence to support recommended dispositions.
- Collaborate with Enforcement to develop cases, as needed.
- Analyze and evaluate firm records and systems.
- Identify notable and emerging trends related to Firm Groupings/Sub-Groupings or FINRA initiatives.
- Train and mentor junior staff and new hires.
- Participate in special projects, as assigned.
- Utilize advanced knowledge of securities markets and member firm operations.
- Build and manage relationships with colleagues and stakeholders.

SEO Friendly Job Title:
Principal Investigator, NCP - Any FINRA Location

Summary:
The Principal Investigator, NCP at FINRA is responsible for conducting extensive background searches of member firms and registered representatives, gathering regulatory intelligence, and providing subject matter expertise throughout the course of investigations. This role requires advanced knowledge of relevant FINRA rules and federal securities laws, as well as strong investigative experience. The successful candidate will have excellent written and verbal communication skills, advanced organizational skills, and the ability to work quickly on multiple time-sensitive matters. This is a full-time position with competitive salary and benefits. Apply today to join the FINRA team.