Public Interest
Rockville, MD
Attorney in Rockville, MD
Non-practicing Attorney
No
Associate Principal Investigator, NCP - IRG - All FINRA Locations (Open)
Summary:
- Job title: Associate Principal Investigator, NCP - IRG
- Organization: FINRA (Financial Industry Regulatory Authority)
- Location: Multiple locations (Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boca Raton, FL; Woodbridge, NJ; Washington, DC; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los Angeles, CA)
- Time type: Full time
- Job requisition ID: R-009227
- Salary range: Varies by location and experience
Responsibilities:
- Analyze and assess regulatory intelligence received from various sources, including internal sources, tips, complaints, and firm filings
- Collect and analyze additional relevant information to determine risk to the public and the securities markets
- Collaborate with internal and external stakeholders to share relevant information
- Make recommendations for regulatory response, such as referral for further investigation or closing the matter
- Conduct interviews and gather facts related to the matter
- Identify and elevate trends to management
- Train and mentor junior staff
- Conduct specialized reviews as assigned
Other responsibilities include:
- Bachelor's degree or equivalent relevant experience required
- Advanced degree or law degree preferred
- Knowledge of relevant FINRA rules and federal securities laws
- Strong written and verbal communication skills
- Ability to work on multiple time-sensitive matters
- Strong organizational skills and attention to detail
- Proficiency in computer programs, including Microsoft Office
Salary information:
- Salary ranges vary by location and experience
- Minimum salary for CA: $94,200
- Maximum salary for CA: $176,000
- Minimum salary for CO/HI/MN/VT: $81,900
- Maximum salary for CO/HI/MN/VT: $146,600
- Minimum salary for IL: $90,100
- Maximum salary for IL: $161,300
- Minimum salary for Jersey City, NJ/NYC, NY: $98,300
- Maximum salary for Jersey City, NJ/NYC, NY: $176,000
- Minimum salary for MA/WA: $81,900
- Maximum salary for MA/WA: $168,600
- Minimum salary for MD/Washington, DC: $94,200
- Maximum salary for MD/Washington, DC: $168,600
- Minimum salary for NJ State: $90,100
- Maximum salary for NJ State: $176,000
- Minimum salary for NY State: $81,900
- Maximum salary for NY State: $176,000
Benefits:
- Comprehensive health, dental, and vision insurance
- Life, accidental death and dismemberment, and supplemental life insurance options
- Short- and long-term disability insurance
- Business travel accident insurance
- 401(k) plan with company match and eligibility for additional retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance program
- Wellness programs
Time off and paid leave:
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of family member leave, and childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)
Important information:
- FINRA's Code of Conduct restricts employee investments and requires financial disclosures related to our role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees are subject to investment and securities account restrictions
- Employees must comply with the company's policy on nepotism
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism
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 to FINRA
Equal employment opportunity:
- 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 on the basis of disability and protected veteran status, respectively.
Jun 22, 2025
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