Lead Investigator, Regulatory Affairs

6 days ago


Jersey City, New Jersey, United States finra Full time
Job Summary

The Senior Investigative Specialist, Market Regulation will conduct comprehensive and timely investigations into potential violations of securities laws and regulations. This role requires a strong understanding of regulatory compliance and the ability to work independently to initiate, strategize, and complete complex investigations.

Key Responsibilities
  • Investigations: Conduct thorough investigations into potential violations of securities laws and regulations, including researching and analyzing data, interviewing witnesses, and gathering evidence.
  • Regulatory Knowledge: Stay up-to-date on changes to regulatory requirements and ensure that investigations are conducted in accordance with applicable laws and regulations.
  • Collaboration: Work closely with management to develop policies and goals that maximize the resources of Market Regulation, and collaborate with colleagues to share knowledge and best practices.
  • Communication: Demonstrate excellent communication skills, both written and verbal, to effectively communicate findings and recommendations to stakeholders.
  • Coaching and Development: Coach less experienced colleagues in investigative techniques, processes, and responsibilities to ensure the development of a skilled and knowledgeable team.
Requirements
  • Education: Bachelor's degree in a relevant field, such as business, law, or finance.
  • Experience: Minimum four years of experience in the securities/financial services industry, with a strong understanding of regulatory compliance.
  • Skills: Excellent analytical and problem-solving skills, with the ability to work independently and as part of a team.
  • Certifications: Relevant certifications, such as Series 7 or Series 24, may be required.
Working Conditions
  • Hybrid Work Arrangement: This is a hybrid position, with office attendance expected as deemed necessary.
  • Travel: Some travel may be required.


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