Attorney in Washington, DC

Public Interest

Washington, DC

Attorney in Washington, DC

Non-practicing Attorney

No

Summary:

Organization: FINRA (Financial Industry Regulatory Authority)
Job Title: Associate Principal Investigator, NCP - IRG
Experience: Bachelor's degree or equivalent, advanced degree or law degree preferred
Location: Various FINRA locations, including New York, NY; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia, PA; Los Angeles, CA
Time Type: Full time
Job Requisition ID: R-009087
Salary Range: Varies based on location and qualifications

Job Description:
FINRA's Initial Review Group (IRG) is seeking an Associate Principal Investigator to join their team. The IRG is responsible for reviewing and analyzing regulatory intelligence received from various sources, and escalating higher-risk matters. The Associate Principal Investigator will perform intake and assessment with minimal supervision and demonstrate competency in investigative techniques and understanding of relevant FINRA rules and federal securities laws.

Key Responsibilities:
- Review triggering event information and clarify firm filing information to determine jurisdiction
- Gather background intelligence using external and internal resources to assess risk and regulatory implications
- Conduct interviews with relevant parties to gather facts related to the matter
- Analyze information gathered to identify potential violations of FINRA rules and federal securities laws
- Collaborate with other departments and stakeholders as needed
- Make recommendations for appropriate regulatory response
- Train and mentor junior staff and new hires
- Conduct specialized reviews as assigned

Requirements:
- Bachelor's degree or equivalent, advanced degree or law degree preferred
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Demonstrated investigative experience
- Advanced written and verbal communication skills
- Ability to work quickly on multiple time-sensitive matters
- Exceptional attention to detail
- Proficiency in Microsoft Office applications
- Effective at building and managing relationships

Salary Information:
- Salary ranges vary based on location and qualifications
- Candidates can expect offers within the minimum to mid-point of the salary range
- FINRA provides full pay ranges for candidates to consider their growth potential

Benefits:
- Comprehensive health, dental, and vision insurance
- Life, accidental death and dismemberment, and disability insurance
- Retirement plans with company match and additional contributions
- Tuition reimbursement and commuter benefits
- Paid time off, including vacation, personal, sick, and volunteer days
- Additional benefits to support employee wellness

Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA

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 and task order will be deemed the property of FINRA

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, respectively.