Investigator of Financial Misconduct

2 weeks ago


Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time
Investigator of Financial Misconduct

FINRA's National Cause Program (NCP) is responsible for investigating cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources.

Key Responsibilities:

  • Investigate cause matters involving potential fraud or other serious misconduct
  • Analyze regulatory filings, investor complaints, tips, referrals, and other regulatory sources
  • Develop and implement investigative strategies to identify and address potential misconduct
  • Collaborate with other teams and stakeholders to share information and best practices

Requirements:

  • Strong analytical and investigative skills
  • Ability to analyze complex data and identify patterns and trends
  • Excellent communication and collaboration skills
  • Ability to work in a fast-paced environment and meet deadlines


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