SEO Friendly Job Title: Associate Principal Investigator, IRG, NCP - All FINRA Locations (Open)
H1: Join the Team at FINRA as an Associate Principal Investigator!
H2: Investigate Regulatory Intelligence as an Associate Principal Investigator at FINRA
Bold Headline: FINRA is Hiring an Associate Principal Investigator for their Initial Review Group
Organization: FINRA
Job Title: Associate Principal Investigator
Experience: Bachelor's degree or equivalent relevant experience required, advanced degree or law degree preferred
Salary Range: $81,900 - $176,000 (depending on location and qualifications)
Job Requisition ID: R-009227
Type: Full-time
Location: Multiple Locations Available (see job posting for specific locations)
Date Posted: Posted 15 Days Ago
FINRA, the Financial Industry Regulatory Authority, is seeking an Associate Principal Investigator to join their Initial Review Group (IRG). This centralized unit is responsible for reviewing and analyzing regulatory intelligence received from various sources, with the goal of identifying and escalating higher-risk matters.
The Associate Principal Investigator will perform Intake & Assessment, using investigative techniques and an understanding of relevant FINRA rules and federal securities laws. This role will involve analyzing information, collecting additional relevant information, collaborating with internal and external stakeholders, and making recommendations for regulatory response.
Key Responsibilities:
- Analyzing information received and identifying regulatory issues raised
- Collecting and analyzing additional relevant information
- Collaborating with other internal and external stakeholders
- Making well-reasoned recommendations for regulatory response
- Conducting interviews with relevant parties
- Assessing and analyzing information to identify potential violations
- Identifying and elevating trends to management
- Collaborating with other FINRA departments as needed
- Training and mentoring junior staff
- Conducting specialized areas of review as assigned
Other Responsibilities:
- Participating in special projects to enhance the program
- Providing support and guidance to junior staff and new hires
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 work on multiple time-sensitive matters
- Strong organizational skills and attention to detail
- Proficiency in Microsoft Office applications
Salary Information:
The salary range for this position varies based on location and qualifications. Please see the chart below for the corresponding salary range for each location. Actual compensation is determined by various factors, including skill set, experience, education, and internal peer compensation comparisons.
- CA: Minimum Salary $94,200, Maximum Salary $176,000
- CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600
- IL*: Minimum Salary $90,100, Maximum Salary $161,300
- Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000
- MA/WA: Minimum Salary $81,900, Maximum Salary $168,600
- MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
- NJ State: Minimum Salary $90,100, Maximum $176,000
- NY State: Minimum Salary $81,900, Maximum Salary $176,000
*Including positions performed outside the state but reporting to an office or manager in that state.
Benefits:
- Comprehensive health, dental, and vision insurance
- Basic and supplemental life insurance
- Short and long-term disability
- Retirement benefits
- Tuition reimbursement
- Commuter benefits
- Other benefits for employee wellness, such as adoption assistance, backup family care, employee assistance, and wellness programs
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
- Other paid leave, including military leave, jury duty, bereavement leave, and more
- Full-time employees receive 9 paid holidays
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 must disclose all brokerage accounts they maintain and authorize their broker-dealers to provide FINRA with duplicate statements.
- Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to **Members Only**
- All employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy.
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. Resumes submitted without a valid agreement will be deemed the sole property of **Members Only**
FINRA is an equal opportunity employer and considers all qualified applicants 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 ).
©2025 **Members Only** All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
