Lead Investigative Manager, Compliance Enforcement
5 days ago
Financial Industry Regulatory Authority, Inc. is seeking a highly skilled Lead Investigative Manager, Compliance Enforcement to conduct comprehensive and timely investigations into potential violations of securities laws and regulations.
About the RoleThis is a critical position that requires strong leadership skills, excellent communication abilities, and a deep understanding of regulatory requirements. The successful candidate will be responsible for managing a team of investigators, providing guidance and support, and ensuring that all investigations are conducted in accordance with FINRA rules and regulations.
Job DescriptionThe Lead Investigative Manager, Compliance Enforcement will be responsible for:
- Conducting complex investigations into potential violations of securities laws and regulations;
- Managing a team of investigators, providing guidance and support as needed;
- Collaborating with other departments to ensure effective enforcement of regulatory requirements;
- Analyzing data and evidence to identify patterns and trends;
- Developing and implementing strategies to prevent future violations;
To be considered for this role, you will need:
- A bachelor's degree in a related field, such as business or law;
- At least 5 years of experience in a compliance or investigative role;
- Excellent leadership and communication skills;
- A deep understanding of regulatory requirements and industry standards;
- Strong analytical and problem-solving skills.
In return for your expertise and dedication, we offer a competitive salary package, including:
- $140,000 - $160,000 per year, depending on experience;
- A comprehensive benefits program, including health insurance, retirement savings, and paid time off;
- Opportunities for professional development and growth;
- A dynamic and supportive work environment.
Please note that these figures are estimates based on national averages and may vary depending on location and other factors.
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Regulatory Attorney
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