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Associate Principal Investigator, NCP - IRG - All FINRA Locations

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Organization: **Members Only**
Job Title: Associate Principal Investigator, IRG
Experience Level: Moderate
Job Type: Full-Time
Location: Various Locations (see below for list)

Job Requisition ID: R-009265
Posted Today

FINRA's Initial Review Group (IRG) is responsible for receiving, reviewing, and analyzing regulatory intelligence from various sources. The Associate Principal Investigator, IRG, will perform Intake & Assessment with moderate supervision, and will have a strong understanding of relevant FINRA rules, federal securities laws, and the securities markets. This position is available at various FINRA locations.

Locations:
- Los Angeles, CA
- Jersey City, NJ
- Jericho, NY
- Denver, CO
- Dallas, TX
- Chicago, IL
- Boston, MA
- Boca Raton, FL
- Woodbridge, NJ
- Washington, DC
- San Francisco, CA
- Rockville, MD
- Philadelphia, PA
- New York, NY

Job Type: Full-Time
Time Type: Full-Time

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

Job Summary:
The Associate Principal Investigator, IRG, will be responsible for analyzing regulatory intelligence received from various sources and making recommendations for appropriate regulatory action. This includes collecting and analyzing information, conducting interviews, and collaborating with internal and external stakeholders as needed. The ideal candidate will have a strong understanding of relevant FINRA rules and federal securities laws, as well as the ability to work quickly on multiple time-sensitive matters.

Essential Job Functions:
- Review triggering event information and clarify firm filing information by contacting firm personnel
- Gather background intelligence using internal and external resources
- Conduct interviews with relevant parties
- Assess and analyze information to identify potential violations
- Identify and elevate trends to manager
- Collaborate with internal and external stakeholders
- Make recommendations for appropriate regulatory action
- Participate in special projects as assigned
- Train and mentor junior staff and new hires
- Conduct specialized areas of review as assigned

Education/Experience Requirements:
- Bachelor's degree or equivalent relevant experience required
- Advanced degree or law degree preferred
- Substantive knowledge of relevant FINRA rules and federal securities laws
- Strong written and verbal communication skills
- Ability to work quickly on multiple time-sensitive matters
- Strong organizational skills with exceptional attention to detail
- Proficiency with computer programs, particularly the full suite of Office software applications

Time Off and Paid Leave:
- 15 days of paid time off
- 5 personal days
- 9 sick days
- 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

Important Information:
- Employees must comply with FINRA's Code of Conduct, including investment and securities account restrictions
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism

Search Firm Representatives:
FINRA is not seeking assistance or accepting 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 abides by the requirements of 41 CFR ) and 41 CFR ). 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.

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