Attorney in Dallas, TX

Public Interest

Dallas, TX

Attorney in Dallas, TX

Non-practicing Attorney

No

H1: Principal Investigator, High Risk Representatives - All FINRA Locations

H2: Conduct High Complexity Investigations and Provide Guidance to Member Supervision Staff

Job Title: Principal Investigator, High Risk Representatives

Organization: FINRA

Department: Specialist Teams

Location: All FINRA Locations (New York, NY; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey City, NJ; Woodbridge, NJ; Washington, DC; Chicago (North Wacker Drive); San Francisco, CA; Rockville, MD; Philadelphia, PA; Los Angeles, CA)

Employment Type: Full Time

Salary Range: $92,500 - $200,200 (varies by location and individual factors)

Job Requisition ID: R-008844

Posted On: Posted 13 Days Ago

FINRA, the Financial Industry Regulatory Authority, is currently seeking a Principal Investigator for their Specialist Teams department. This position is responsible for conducting high complexity investigations of FINRA member firms, investigating potentially suspicious activities of high risk registered representatives, and providing guidance to Member Supervision staff on complex assignments. The Principal Investigator will also collaborate with various departments within FINRA and act as a liaison and subject matter expert for stakeholders. This is a professional level position that requires advanced knowledge, skills, and minimal supervision.

Key Responsibilities:

- Lead and execute high complexity investigations with minimal supervision
- Conduct complex risk identification reviews
- Provide guidance and training to FINRA personnel on complex investigations
- Proactively identify trends and participate in special projects in area of specialty
- Conduct and facilitate on the record interviews, in collaboration with Enforcement
- Document strategies, written requests, investigative steps, and results
- Act as a liaison and subject matter expert for various stakeholders

Education/Experience Requirements:

- Bachelor's degree or equivalent relevant experience required; advanced degree or law degree preferred
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Advanced knowledge of securities markets and member firm operations
- 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
- Proficiency with computer programs, particularly Microsoft Office
- Effective at building and managing relationships

Salary Information:

FINRA provides a range of salaries for each location, based on various factors such as skill set, experience, and education. The salary ranges for the locations listed in the job posting are as follows:

- CA: Minimum Salary $106,400, Maximum Salary $200,200
- CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800
- IL*: Minimum Salary $101,800, Maximum Salary $183,900
- Jersey City, NJ/NYC, NY: Minimum Salary $111,000, Maximum Salary $200,200
- MA/WA: Minimum Salary $92,500, Maximum Salary $191,800
- MD/Washington, DC: Minimum Salary $106,400, Maximum Salary $191,800
- NJ: Minimum Salary $101,800, Maximum Salary $200,200
- NY: Minimum Salary $92,500, Maximum Salary $200,200

*Including positions performed outside the state but reporting to an office or manager in that state.

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**

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to their role as a securities regulator.
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to **Members Only**
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without modification.
- FINRA has a policy on nepotism and employees must comply with it.

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year)
- 2 volunteer service days
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

Search Firm Representatives:

FINRA does not accept unsolicited resumes from search firms for this employment opportunity. A valid written agreement and task order must be in place before any resumes are submitted to **Members Only**

FINRA is an equal opportunity employer and values diversity in the workplace. 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 ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.