Principal Investigator, NCP

1 week ago

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

We are seeking a highly skilled Principal Investigator to join our National Cause Program (NCP) team at the Financial Industry Regulatory Authority, Inc. (FINRA). As a Principal Investigator, you will play a critical role in conducting extensive background searches of FINRA member firms and registered representatives in support of open FINRA investigations in the NCP.

Key Responsibilities
  • Conduct thorough investigations of varying risk and complexity, gathering regulatory intelligence using internal systems and 8210 record requests.
  • Request and compile, analyze, assess, and evaluate records, preparing for and participating in On-The-Record interviews.
  • Independently conduct and facilitate interviews of relevant parties, identifying exceptions, observations, and other findings and proactively escalating potential formal issues to management.
  • Collaborate with Enforcement to develop cases, as needed, and analyze and evaluate firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.).
  • Assist in identifying notable and emerging trends related to Firm Groupings/Sub-Groupings or FINRA initiatives and escalate to management.
  • Train and mentor junior staff and new hires, participating in special projects as assigned.
Requirements
  • Bachelor's degree or equivalent relevant experience, required. Advanced degree or law degree, preferred.
  • Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
  • Advanced knowledge of the securities markets and member firm operations and its books and records.
  • Advanced written and verbal communications skills.
  • Advanced ability to initiate and complete high-quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
  • Advanced organizational skills with exceptional attention to detail.
  • Advanced proficiency using computer programs with the full suite of Office software applications.
  • Effective at building and managing relationships.
What We Offer

FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance. We also offer immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, and many other benefits.

Location

This position is based in [insert location]. FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).

Equal Opportunity Employer

FINRA is an Equal Opportunity and Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws as appropriate, or upon the protected status of the person's relatives, friends, or associates.

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