Attorney in Boca Raton, FL

Public Interest

Boca Raton, FL

Attorney in Boca Raton, FL

Non-practicing Attorney

No

SEO Friendly Job Title: Principal Investigator, High Risk Representatives - All FINRA Locations

H1: Join FINRA as a Principal Investigator in High Risk Representatives at All Locations

H2: Investigate and Identify Fraudulent Conduct in the Securities Industry

Organization: FINRA
Department: Member Supervision

Job Requisition ID: R-008844
Job Type: Full Time
Posted: 13 Days Ago

Overview:

Are you an experienced investigator with a strong understanding of FINRA rules and federal securities laws? Do you have a passion for identifying risks and developing regulatory strategies to address them? If so, FINRA is looking for a Principal Investigator to join our Specialist Teams and conduct high complexity investigations of FINRA member firms. In this role, you will work proactively to identify fraudulent conduct occurring at, by, or through FINRA high risk registered representatives. This is a highly skilled position that requires minimal supervision and the ability to lead and train others.

Key Responsibilities:

- Lead and execute high complexity investigations with limited guidance and minimal supervision
- Conduct risk identification reviews and consultative tasks
- Collaborate with various teams and stakeholders within FINRA, including Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys
- Proactively identify trends and participate in special projects related to your area of expertise
- Provide training to FINRA personnel on complex investigations
- Conduct on the record interviews in collaboration with Enforcement, as needed
- Thoroughly document strategies, written requests and steps taken in investigations, and any referrals to Enforcement or outside agencies

Requirements:

- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred
- Advanced knowledge of FINRA rules and federal securities laws
- Demonstrated investigative experience in the securities industry
- Advanced knowledge of securities markets and member firm operations
- Excellent written and verbal communication skills
- Strong ability to initiate and complete high quality reviews and investigations, while managing multiple time-sensitive matters
- Exceptional organizational skills and attention to detail
- Proficiency in using computer programs, including the full suite of Office software applications
- Effective at building and managing relationships

Salary Information:

FINRA offers a competitive salary and benefits package, including bonuses and company match for 401(k) plans. Salary ranges vary by location, with the minimum salary for certain locations starting at $92,500 and the maximum salary reaching up to $200,200. Actual compensation is based on various factors, including the candidate's skill set, level of experience, education, and internal peer compensation comparisons.

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

Benefits:

In addition to a competitive salary, FINRA offers a comprehensive benefits package that includes:

- Health, dental, and vision insurance
- Life and disability insurance
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Employee assistance program
- Wellness programs

Time Off and Paid Leave:

At FINRA, we believe in the importance of work-life balance and offer a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year). We also provide two volunteer service days to support our communities. Other paid leave includes military leave, jury duty leave, bereavement leave, and parental leave.

Important Information:

As a securities regulator, FINRA has restrictions on employee investments and requires financial disclosures related to our role. Employees must disclose all brokerage accounts they maintain and authorize their broker-dealers to provide duplicate statements to **MEMBERS ONLY**SIGN UP NOW***. New employees must comply with these investment restrictions, including disposing of any securities issued by companies on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President, within three months of beginning employment.

Additionally, employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

Search Firm Representatives:

Please note that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. All resumes submitted by search firms without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event of hire.

Join FINRA as a Principal Investigator and use your investigative skills to protect investors and maintain the integrity of the securities industry. Apply now to be considered for this position.