Title: Principal Investigator, High Risk Representatives - All FINRA Locations
Role Overview:
The Principal Investigator, High Risk Representatives, is responsible for conducting high complexity investigations of FINRA member firms and their registered representatives. This position requires advanced knowledge of relevant FINRA rules and federal securities laws, as well as expertise in conducting investigations and identifying risks. The Principal Investigator will collaborate with various departments within FINRA and act as a liaison and subject matter expert. This is a full-time position and can be performed at any of the FINRA locations listed below.
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
Job Requisition ID: R-008844
Job Type: Full time
Posted: Posted 13 Days Ago
Role Responsibilities:
- Conduct high complexity investigations with minimal supervision
- Identify risks and develop regulatory strategies to address them
- Collaborate with various departments within FINRA
- Document investigative steps and results
- Act as a liaison and subject matter expert for stakeholders
- Provide training to FINRA personnel on complex investigations
- Conduct on the record interviews as needed
Education/Experience Requirements:
- Bachelor's degree or equivalent relevant experience required
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Advanced written and verbal communication skills
- Proficiency in utilizing computer programs, including Microsoft Office
- Ability to build and manage relationships
Salary Information:
For work performed in certain states, the salary range will vary. Please see the chart below for the corresponding location:
- 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 $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 the candidate can consider their growth potential while at **Members Only**
#LI-Hybrid
Application Process:
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
Please note that the information provided above is not a comprehensive inventory of all duties, responsibilities, and qualifications required for the position.
Important Information:
FINRA has certain restrictions on employee investments and requires financial disclosures related to their role as a securities regulator. Employees must comply with these restrictions and disclose all brokerage accounts they maintain. They must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
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** Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA and no fee will be paid in the event of a hire.
Equal Opportunity Employer:
FINRA is an equal opportunity employer. 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 on the basis of disability and protected veteran status, respectively.
