Lead Investigator, Regulatory Compliance

2 weeks ago

New York, New York, United States Financial Industry Regulatory Authority , Inc. Full time

The Lead Investigator is responsible for conducting thorough investigations across various Regulatory Compliance cases to establish comprehensive and factual investigative records. Less complex cases are managed with limited oversight from supervisory personnel.

We are looking for a candidate with expertise in areas such as market structure, trading algorithms, retail order routing mechanisms, Reg SHO, trading methodologies, Alternative Trading Systems, Regulation NMS, Best Execution Rule (Rule 5310), and/or Market Access Rule (Rule 15c3-5).

Key Responsibilities:

  • Compile a complete and accurate factual record, including independent handling of straightforward cases.
  • Formulate and implement an effective risk-based investigative approach.
  • Identify critical documents and gather evidence to support various charges, demonstrating a solid understanding of evidence, legal stipulations, potential defenses, and Principal Considerations.
  • Prepare information requests that are precise, comprehensive, and focused.
  • Draft clear and thorough summaries of factual findings.
  • Objectively evaluate and communicate with legal teams regarding weaknesses or ambiguities in factual findings.
  • Conduct effective interviews with clients.
  • Plan and engage in or lead OTRs of witnesses, showcasing mastery of the factual record and the ability to create a robust record.
  • Ensure that Principal Considerations influencing sanctions are thoroughly examined.
  • Succinctly discuss any case or issue in meetings with respondents and other stakeholders.
  • Provide credible testimony in legal proceedings.
  • Perform accurate data analysis in any case, adhering to established methodologies, including independent analysis of straightforward matters.
  • Conduct advanced analysis in line with well-defined methodologies.
  • Identify and resolve inquiries regarding the optimal approach to data analysis to maintain consistency across cases.
  • Recognize new investigative or analytical techniques as necessary and evaluate their alignment with accepted practices.
  • Effectively articulate data analysis and findings, noting any exceptions or assumptions embedded in the analysis.
  • Identify interpretive or novel issues and engage in discussions with other departments regarding these interpretive matters.
  • Collaborate with other investigative units to troubleshoot and resolve discrepancies in investigative methods or findings.
  • Complete all types of investigations promptly, independently managing straightforward inquiries.
  • Establish timelines and meet them, including directing the efforts of other team members to advance the case efficiently.
  • Continuously monitor investigations to ensure they remain focused and targeted.
  • Identify and escalate issues that necessitate re-prioritization, recommending next steps or alternative strategies.
  • Appropriately prioritize risks and needs.
  • Deliver work products that require minimal revisions or redirection.
  • Eliminate unnecessary investigative steps and identify essential inquiries in real-time.
  • Contribute meaningfully to case discussions and meetings, facilitating the efficient progression of the case.
  • Collaborate with legal teams to produce a solid factual record supported by a clear legal framework across all types of cases, including independent collaboration on straightforward matters.
  • Partner with legal teams to strategize investigations and thoroughly develop the record in all cases, including those with complex fact patterns, new regulations, multiple respondents, numerous affected parties, complex or novel products, high litigation risk, and urgent response requirements.
  • Ensure that information requests are driven by a clearly defined legal framework.
  • Integrate legal guidance into investigation planning and execution throughout the case.
  • Proactively identify and discuss relevant and accurate factual findings with legal teams.
  • Provide clear and accurate factual findings to legal teams, offering insights from industry experience and/or subject matter expertise to assist in objectively assessing the sufficiency of evidence.
  • Demonstrate the ability to operate independently in straightforward investigations while delivering high-quality work in collaborative settings.
  • Conduct precise investigations and analyses in any case.
  • Identify opportunities to collaborate with other staff or leverage other cases for more efficient outcomes, managing the team's work products effectively.
  • Ensure that contributions from team members yield a consistent and coherent record and analysis.
  • Identify potential team members based on expertise, skills, and case requirements.
  • Advise other staff on efficient methods to leverage collective knowledge and collaborate across the organization.
  • Where feasible, assign routine investigative tasks to more suitable staff and effectively communicate with team members regarding factual and legal issues for analysis.
  • Identify assignments for other staff members where possible to achieve more efficient outcomes.
  • Keep management informed and incorporate feedback into planning and execution.
Education/Experience Requirements:
  • Bachelor's degree in Finance, Accounting, or a related field, or equivalent experience; MBA preferred. A minimum of seven (7) years of directly relevant experience.
  • Extensive knowledge of the rules, regulations, and guidelines governing the securities industry.
  • Proficiency in using a desktop computer with the complete suite of office software applications.
Working Conditions:
  • Work outside of standard business hours and overnight travel may be necessary.
Compensation:
Salary ranges vary based on location and other factors, including skills, experience, education, and internal peer compensation comparisons.

Benefits:
FINRA offers comprehensive health, dental, and vision insurance, along with a 401(k) plan with company match, tuition reimbursement, and other benefits.

Time Off:
Employees receive a generous time-off program, including paid time off, personal days, sick days, and volunteer service days.

Equal Opportunity Employer:
FINRA is committed to providing equal employment opportunities to all qualified applicants without regard to various protected statuses.

  • Regulatory Compliance Specialist

    2 weeks ago

    New York, New York, United States McCann & Braham Full time

    Company Overview:McCann & Braham is a leading global commodity trading firm, recognized for its dedication to ethical practices, sustainability, and integrity in business operations.Position Summary:We are in search of a Compliance Associate with a strong background in compliance advisory and market regulation. This position will report directly to the...

  • Regulatory Compliance Specialist

    7 days ago

    New York, New York, United States McCann & Braham Full time

    Company Overview:McCann & Braham is a leading global commodity trading firm, recognized for its unwavering dedication to ethical practices, sustainability, and responsible operations.Position Summary:We are looking for a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct...

  • Regulatory Compliance Specialist

    7 days ago

    New York, New York, United States McCann & Braham Full time

    Company Overview:McCann & Braham is a leading global commodity trading firm recognized for its dedication to ethical practices, sustainability, and integrity in business operations.Position Overview:We are in search of a Compliance Associate with a strong background in compliance advisory and market regulation. This position will report directly to the...

  • Regulatory Compliance Specialist

    2 weeks ago

    New York, New York, United States McCann & Braham Full time

    Company Overview:McCann & Braham is a leading global commodity trading firm recognized for its dedication to ethical practices, sustainability, and integrity in business operations.Position Summary:We are in search of a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct...

  • Regulatory Compliance Specialist

    7 days ago

    New York, New York, United States McCann & Braham Full time

    Company Overview:McCann & Braham is a leading global commodity trading firm, recognized for its dedication to ethical practices, sustainability, and responsible business operations.Position Overview:We are looking for a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market Conduct...

  • Compliance Officer

    7 days ago

    New York, New York, United States ZARA USA Full time

    The Compliance Manager plays a pivotal role in ensuring Zara USA, Inc. and other brands of the Inditex Group portfolio in the USA and Puerto Rico adhere to legal standards and internal policies. This position is crucial for maintaining the company's legal and ethical standing, managing compliance-related projects, and fostering a culture of integrity and...

  • Lead Counsel

    4 days ago

    New York, New York, United States Axiom Talent Platform Full time

    About the RoleAxiom Talent Platform is seeking a highly experienced Litigation Counsel to join our team. As a key member of our legal department, you will play a critical role in managing a docket of False Claims Act cases and advising on inquiries and investigations from federal regulators for a leading U.S pharmaceutical company.Key ResponsibilitiesCase...

  • Compliance and Regulatory Affairs Leader

    4 days ago

    New York, New York, United States Comun Full time

    About the RoleWe are seeking a seasoned Compliance and Regulatory Affairs Leader to join our team at Comun. As a key member of our leadership team, you will be responsible for ensuring our organization remains compliant with all relevant laws, regulations, and industry standards.Key ResponsibilitiesDevelop and Implement Compliance Programs: Design,...

  • Lead Regulatory Compliance Product Manager

    2 weeks ago

    New York, New York, United States Wise Full time

    Company OverviewWise is a global technology enterprise dedicated to revolutionizing the way individuals and businesses manage and transfer their finances. With minimal fees and maximum efficiency, we strive to enhance the financial experience for our users.Our mission is to simplify international money transfers and payments, making financial transactions...

  • Regulatory Compliance Specialist

    2 weeks ago

    New York, New York, United States McCann & Braham Full time

    Company Overview:McCann & Braham is a distinguished global commodity trading firm recognized for its unwavering dedication to ethical practices, sustainability, and responsible operations.Position Overview:We are in search of a Compliance Associate with expertise in compliance advisory and market regulation. This position will report directly to the Market...

  • Regulatory Compliance Consultant

    4 weeks ago

    New York, New York, United States Michael Page Full time

    Examine, Evaluate, and Investigate eligibility for or conformity with lawsMedical, Dental, Vision Benefits, Hybrid schedule, Competitive pay About Our Client Our client is a large, foreign, International Bank. With it's full-fledged services, our client specialize in corporate lending, international trade services, treasury business, U.S. dollar clearing,...

  • Chief Compliance Officer and Head of Regulatory Affairs

    1 day ago

    New York, New York, United States Clear Corporate Services LLC Full time

    The Chief Compliance Officer and Head of Regulatory Affairs will lead CLEAR's Compliance and Regulatory teams within Legal while working with teams across the company to build products and programs consistent with global laws and regulations.Oversee an effective compliance program per DOJ and SEC guidance, including, e.g., internal investigations and...

  • Regulatory Compliance Specialist

    2 weeks ago

    New York, New York, United States myGwork Full time

    About Us: We are an inclusive employer committed to fostering a diverse workplace. As a proud member of myGwork, we support the LGBTQ+ business community and strive to create a welcoming environment for all. Role Overview: Our Legal & Compliance Department is integral to our global operations, addressing complex legal challenges and ensuring adherence to...

  • Senior Investigative Analyst, Enforcement

    2 weeks ago

    New York, New York, United States Financial Industry Regulatory Authority , Inc. Full time

    The Financial Industry Regulatory Authority, Inc. (FINRA) is dedicated to upholding the integrity of the securities industry through rigorous enforcement of rules and regulations. The Senior Investigative Analyst plays a pivotal role in examining potential violations of FINRA Rules and securities laws, contributing to the establishment of thorough and...

  • Regulatory Compliance Specialist

    1 week ago

    New York, New York, United States Sia Partners Full time

    Job DescriptionSia Partners, a leading management consulting firm, is seeking a seasoned Regulatory Compliance Specialist to join our Financial Services practice. As a key member of our team, you will play a critical role in supporting our clients with regulatory remediation initiatives.Key ResponsibilitiesDevelop and Execute Regulatory Remediation Plans:...

  • Regulatory Compliance Specialist

    4 days ago

    New York, New York, United States Beacon Hill Full time

    Job DescriptionJob Title: Compliance AssociateCompany: Beacon Hill LegalLocation: Downtown ManhattanJob Type: Full-timeSalary: $140,000 - $170,000 per yearExperience: 4+ years in a regulated trading companyResponsibilities:Work with regulatory agencies to ensure compliance with relevant laws and regulationsDevelop and implement compliance programs to...

  • Lead Manager, Regulatory Compliance Operations

    2 weeks ago

    New York, New York, United States Publicis Groupe Full time

    Company Overview Publicis Groupe is a comprehensive, multi-disciplinary organization that delivers exceptional services in a dynamic and adaptable manner. With our clients at the forefront, we drive brand engagement at the pace of everyday life by integrating real-time insights with top-tier creative, content, and media strategies to foster growth and...

  • Regulatory Compliance Specialist

    7 days ago

    New York, New York, United States Quantbot Full time

    Job OverviewQuantbot, a leading firm in the finance sector, is in search of a diligent, proactive, and detail-oriented professional to enhance our compliance team. As a rapidly growing investment adviser, we pride ourselves on our commitment to maintaining the highest compliance standards.Key Responsibilities:The selected candidate will be tasked with...

  • Fixed Income Regulatory Compliance Specialist

    2 weeks ago

    New York, New York, United States Sumitomo Mitsui Financial Group, Inc. Full time

    Company OverviewSumitomo Mitsui Financial Group, Inc. (SMFG) is a leading global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, SMFG operates a diverse array of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a workforce of over 80,000 employees across nearly 40...

  • Manager - Regulatory Compliance

    4 weeks ago

    New York, New York, United States Bally's Atlantic City Full time

    Atlantic City Directs and monitors compliance activities for assigned jurisdictions, to include all components required under the Corporate Compliance Program. Ensures New Jersey Division of Gaming Enforcement requirements are fully complied with and liaises with TRWH's counsel in this regard. Owns property Anti Money Laundering program and all submission...