Attorney in Boca Raton, FL

Public Interest

Boca Raton, FL

Attorney in Boca Raton, FL

Non-practicing Attorney

No

Senior Principal Investigator, NCP - IRG - All FINRA Locations

Full-Time Posted Yesterday End Date: April 17, 2025 (5 days left to apply) Job Requisition ID: R-009202 FINRA’s Initial Review Group (IRG) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through a variety of sources, with a focus on identifying and escalating higher-risk matters. We are seeking a Senior Principal Investigator to lead strategic efforts for IRG and collaborate with senior management to address significant increases and changes in regulatory filings and eliminate operational risk within the department.

Responsibilities:

Lead and strategize on the departmental response to market events and volume surges related to issuer events, outages, or other system failures.
Proactively identify emerging trends and develop strategies to address findings.
Collaborate with senior management to identify cross-operational risk and responsibilities during critical volume surges.
Develop and maintain department playbooks for consistent strategic plans and processes.
Research, analyze and prepare data to support operational metrics and identify trends.
Independently lead and execute on highest impact and highest risk events and/or firms.
Conduct reviews and approvals of Market Event summaries.
Identify and facilitate training needs related to Market Events.
Demonstrate specialization in critical areas such as products, business models, and investigative techniques.
Participate in internal and external meetings and represent IRG at industry conferences.
Lead and/or assist with responses to oversight and access requests and conduct Quality Assurance reviews.

Requirements:

Bachelor’s degree, advanced degree or law degree preferred.
Experience in the securities/financial industry with knowledge of regulatory compliance.
Expert knowledge of relevant FINRA rules and federal securities laws.
Expert knowledge of securities markets and member firm operations.
Strong communication skills and ability to produce high-quality written work.
Advanced knowledge of securities rules and regulations, firm business models, and FINRA's risk fundamentals.
Proficiency in critical thinking, research, analytical, and interviewing skills.
Ability to work independently with limited supervision and manage time effectively.
Knowledge of internal policies and protocols.

Working Conditions:

Hybrid office environment.
Extended hours may be required.

Salary Information:

Candidates can expect salary offers within the minimum to mid-point of the salary range.

Benefits:

Comprehensive health, dental, and vision insurance.
Life, accidental death and dismemberment, and disability insurance.
401(k) plan with company match and eligibility for additional retirement contributions.
Tuition reimbursement, commuter benefits, and other wellness programs.
Time off for vacation, personal days, sick days, volunteer service, military leave, jury duty, bereavement, voting and election official duties, and family care.
Nine paid holidays.

Important Information:

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. Employees must disclose all brokerage accounts and authorize their broker-dealers to provide statements to **MEMBERS ONLY**SIGN UP NOW***. New employees must comply with investment restrictions before starting employment.
Employees must also sign FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy.
FINRA is not seeking or accepting unsolicited resumes from search firms for this position.

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 ) to prohibit discrimination against qualified individuals with disabilities and protected veterans.