Associate Principal Investigator, NCP - IRG - All FINRA Locations
Locations:
- New York, NY (Job Posting)
- Jersey City, NJ (Job Posting)
- Jericho, NY (Job Posting)
- Denver, CO (Job Posting)
- Dallas, TX (Job Posting)
- Boston, MA (Job Posting)
- Boca Raton, FL (Job Posting)
- Woodbridge, NJ (Job Posting)
- Washington, DC (Job Posting)
- Chicago (North Wacker Drive)
- San Francisco, CA (Job Posting)
- Rockville, MD (Job Posting)
- Philadelphia, PA (Job Posting)
- Los Angeles, CA (Job Posting)
Job Title: Associate Principal Investigator, NCP - IRG
Experience:
- Bachelor's degree or equivalent relevant experience; required. Advanced degree or law degree, preferred.
- Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
- Advanced knowledge of the securities markets and member firm operations and its books and records.
- Advanced written and verbal communication skills.
- Advanced ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
- Advanced organizational skills with exceptional attention to detail.
- Advanced proficiency using computer programs with the full suite of Office software applications.
- Effective at building and managing relationships.
Full-time position
Posted on: Posted Today
Job Requisition ID: R-009087
Organization: FINRA (Financial Industry Regulatory Authority)
Department: Initial Review Group (IRG)
Salary Information:
- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
- IL*: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200
*Including positions performed outside the state but reporting to an office or manager in that state.
Job Description:
The Associate Principal Investigator, NCP - IRG, will be part of FINRA's Initial Review Group (IRG) which serves as the centralized unit for the intake, review, and analysis of regulatory intelligence received through various sources. The Principal Investigator will be responsible for performing 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. The primary responsibilities of this role include:
- Analyzing information received from various sources and identifying regulatory issues raised
- Collecting and analyzing additional relevant information from internal and external systems to assess risk to the investing public and the securities markets
- Collaborating with other internal and external stakeholders to share relevant information
- Making well-reasoned recommendations for the appropriate regulatory response
- Reviewing triggering event information and clarifying firm filing information by contacting firm personnel
- Gathering background intelligence using external and internal resources
- Conducting interviews with relevant parties to gather facts related to the matter
- Identifying and elevating apparent trends to manager
- Collaborating within NCFC and with other FINRA departments as needed
- Recommending and drafting appropriate assessment dispositions
- Participating in special projects to address ongoing program enhancements
- Training and mentoring junior staff and new hires
- Conducting specialized areas of review as assigned
Education/Experience Requirements:
- Bachelor’s degree or equivalent relevant experience; required. Advanced degree or law degree, preferred.
- Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
- Advanced knowledge of the securities markets and member firm operations and its books and records.
- Advanced written and verbal communications skills.
- Advanced ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
- Advanced organizational skills with exceptional attention to detail.
- Advanced proficiency using computer programs with the full suite of Office software applications
- Effective at building and managing relationships.
Salary Information:
- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
- IL*: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600 Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200
*Including positions performed outside the state but reporting to an office or manager in that state.
Benefits:
- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Disability and legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Other benefits that support employee wellness, such as adoption assistance, backup
