Job Description
Associate Principal Investigator, NCP - IRG - All FINRA Locations
Full-Time, Posted Today, R-009087
FINRA’s Initial Review Group (IRG) is seeking an experienced Associate Principal Investigator to join our team. The Associate Principal Investigator will be responsible for performing intake and assessment of regulatory intelligence received through various sources, analyzing information, and making recommendations for appropriate regulatory response. This is a full-time position, with opportunities available in various locations across the country.
Job Title: Associate Principal Investigator, NCP - IRG - All FINRA Locations
Experience: Minimum of 5 years of relevant experience in regulatory investigations and an advanced understanding of FINRA rules and federal securities laws.
Salary Information: Salary ranges vary depending on location and qualifications, with opportunities for bonuses and other benefits. Please see the chart below for salary ranges for specific locations.
Locations: New York, NY Jersey City, NJ Jericho, NY Denver, CO Dallas, TX Boston, MA Boca Raton, FL Woodbridge, NJ Washington, DC Chicago (North Wacker Drive) San Francisco, CA Rockville, MD Philadelphia, PA Los Angeles, CA
Minimum Salary: $95,300
Maximum Salary: $206,200
Time Type: Full time
Job Requisition ID: R-009087
H1: Join Our Team as an Associate Principal Investigator at FINRA's Initial Review Group (IRG) H2: Make a Difference in Regulatory Intelligence and Analysis
Key Responsibilities:
- Perform intake and assessment of regulatory intelligence received through various sources - Analyze information and identify regulatory issues, potential violations of FINRA rules and federal securities laws, and risks to the investing public and securities markets - Gather background intelligence using internal and external resources - Conduct interviews with relevant parties - Collaborate with internal and external stakeholders - Make well-reasoned recommendations for appropriate regulatory response
Additional Responsibilities:
- Train and mentor junior staff and new hires - Conduct specialized areas of review, as assigned - Participate in special projects to enhance the program - Identify and elevate apparent trends to manager - Collaborate within NCFC and other FINRA departments as needed
Requirements:
- Bachelor's degree or equivalent relevant experience; advanced degree or law degree preferred - Minimum of 5 years of relevant experience in regulatory investigations - Advanced knowledge of FINRA rules and federal securities laws - Advanced written and verbal communication skills - Advanced ability to initiate and complete high quality reviews and investigations - Proficiency in using computer programs, including Microsoft Office - Effective at building and managing relationships
*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, and supplemental life insurance - Short- and long-term disability - Long-term care - Business travel accident - Tuition reimbursement - Commuter benefits - Adoption assistance - Backup family care - Surrogacy benefits - Employee assistance and wellness programs
Paid Time Off and Leave:
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year) - 2 volunteer service days - Military leave - Jury duty leave - Bereavement leave - Voting and election official leave - Care of a family member leave (available after 90 days of employment) - Childbirth and parental leave (available after 90 days of employment) - 9 paid holidays
Important Information:
- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures - New employees must comply with investment restrictions, including disposing of any securities issued by a company on FINRA's Prohibited Company List - Employees must maintain securities accounts at firms that provide an electronic feed to FINRA - 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 - Valid written agreement and task order must be in place before any resumes are submitted to FINRA - All resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA
Apply Today:
- To be considered for this position, please submit an application - Applications are accepted on an ongoing basis
FINRA is an 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 60-741.5(a) and 41 CFR 60-300.5(a).
Join FINRA's Initial Review Group and make a difference in regulatory intelligence and analysis as an Associate Principal Investigator. Apply now for this full-time position at one of our various locations across the country.
