Attorney in Boston, MA

Public Interest

Boston, MA

Attorney in Boston, MA

Non-practicing Attorney

No

Associate Principal Investigator, NCP - IRG - All FINRA Locations

FINRA is currently seeking an experienced Associate Principal Investigator to join our Initial Review Group (IRG) team. The IRG is responsible for the intake, review, and analysis of regulatory intelligence received through a variety of sources, with the goal of quickly identifying and escalating higher-risk matters. In this role, you will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading.

This is a full-time position, with locations available in various FINRA locations across the country, including New York, NY, Jersey City, NJ, Jericho, NY, Denver, CO, and Dallas, TX. We also have opportunities in Boston, MA, Boca Raton, FL, Woodbridge, NJ, Washington, DC, Chicago, IL, San Francisco, CA, Rockville, MD, Philadelphia, PA, and Los Angeles, CA. As part of our commitment to employee wellness, we offer a comprehensive benefits package, including health, dental, vision, and life insurance, as well as a 401(k) plan with company match and eligibility for participation in additional retirement contributions.

The successful candidate for this position will have a Bachelor’s degree or equivalent relevant experience, with an advanced degree or law degree preferred. They will also possess advanced knowledge of relevant FINRA rules and federal securities laws, as well as strong written and verbal communication skills. Additionally, they will have a proven ability to initiate and complete high quality reviews and investigations, with exceptional attention to detail and proficiency using computer programs.

Responsibilities for this position include reviewing triggering event information, gathering background intelligence, conducting interviews, and assessing and analyzing information to identify potential violations of FINRA rules and federal securities laws. The Associate Principal Investigator will also collaborate with other internal and external stakeholders and make recommendations for appropriate regulatory responses. They may also participate in special projects and train and mentor junior staff and new hires.

Salary for this position will vary based on location and individual qualifications, with salary ranges for each location provided in the job posting. Candidates can expect offers within the minimum to mid-point of the salary range, with the potential for bonuses and overtime pay for non-exempt employees. FINRA also offers a generous time-off program, including paid time off, personal days, sick days, and volunteer service days.

To be considered for this position, please submit an application through our website. FINRA is committed to providing equal employment opportunities to all qualified applicants, regardless of 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. We also abide by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Join FINRA and make a difference in the world of securities regulation. Apply today.