About FINRA
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
Job Title: Principal Investigator, NCP - All FINRA Locations
Organization: FINRA (Financial Industry Regulatory Authority)
Experience: Bachelor's degree or equivalent relevant experience, advanced degree or law degree preferred
Location: All FINRA locations (CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State)
Salary Range: Varies by location, minimum $95,300 to maximum $206,200
Job Type: Full-time
Job Requisition ID: R-009266
H1: Join the team at FINRA as a Principal Investigator for the National Cause Program!
H2: Investigate fraud and misconduct at FINRA's various locations across the country.
Bullet Points:
- Conduct investigations of varying risk and complexity independently
- Use internal systems and requests for records to gather regulatory intelligence
- Analyze and evaluate firm records and systems
- Train and mentor junior staff and new hires
- Identify trends and escalate potential issues to management
- Collaborate with Enforcement to develop cases
- Participate in special projects as assigned
- Advanced knowledge of relevant FINRA rules and federal securities laws required
- Strong written and verbal communication skills
- Ability to work quickly on multiple time-sensitive matters
- Strong organizational skills with exceptional attention to detail
- Proficient in using computer programs, particularly Microsoft Office
- Effective at building and managing relationships
Education/Experience Requirements:
- Bachelor's degree or equivalent relevant experience required
- Advanced degree or law degree preferred
- Advanced knowledge of securities markets and member firm operations
- Advanced investigative experience
- Advanced written and verbal communication skills
- Advanced ability to initiate and complete high quality reviews and investigations
- Advanced organizational skills with exceptional attention to detail
- Advanced proficiency using computer programs, particularly Microsoft Office
- Effective at building and managing relationships
Salary Information:
- Salary ranges vary by location, minimum $95,300 to maximum $206,200
- Actual compensation based on factors such as skill set, experience, education, and internal peer comparisons
Benefits:
- Comprehensive health, dental, and vision insurance
- Additional insurance options including life, accidental death and dismemberment, short and long-term disability, and more
- 401(k) plan with company match and eligibility for participation in additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Other benefits supporting employee wellness, such as adoption assistance, backup family care, and wellness programs
Time Off and Paid Leave:
- 15 days 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 a 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 imposes restrictions on employee investments and requires financial disclosures related to their role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements
- New employees must comply with investment restrictions, including disposing of any securities issued by a company on FINRA's Prohibited Company List, by their start date
- Employees may only maintain disclosed securities accounts at firms that provide an electronic feed to FINRA
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy
About FINRA:
- FINRA (Financial Industry Regulatory Authority) is a registered trademark of the Financial Industry Regulatory Authority, Inc.
- FINRA's National Cause Program (NCP) investigates fraud and misconduct from various sources at FINRA member firms and registered representatives
- The Principal Investigator, NCP, conducts extensive background searches, provides subject matter expertise, and conducts in-depth data analysis for NCP investigations
- This position is available at all FINRA locations across the country.
