Principal Investigator, NCP

6 days ago

Rockville, Maryland, United States Financial Industry Regulatory Authority , Inc. Full time
Job Summary

We are seeking a highly skilled and experienced Principal Investigator to join our team at the Financial Industry Regulatory Authority, Inc. (FINRA). As a Principal Investigator, you will be responsible for conducting thorough investigations into potential cause matters involving FINRA member firms and registered representatives.

Key Responsibilities
  • Conduct extensive background searches of FINRA member firms and registered representatives in support of open FINRA investigations.
  • Provide subject matter expertise throughout the course of Cause investigations, identifying risk using various internal and external systems.
  • Conduct advanced-level data analysis for NCP investigations, reviewing and summarizing investigative findings and suggesting next steps.
  • Independently lead investigations of varying risk and complexity.
  • Gather regulatory intelligence using internal systems and 8210 record requests.
  • Request and compile, analyze, assess, and evaluate records.
  • Prepare for and participate in On-The-Record interviews.
  • Conduct and facilitate interviews of relevant parties.
  • Identify exceptions, observations, and other findings, and escalate potential formal issues to management.
  • Collaborate with Enforcement to develop cases, as needed.
  • Train and mentor junior staff and new hires.
Requirements
  • Bachelor's degree or equivalent relevant experience, required.
  • Advanced knowledge of relevant FINRA rules and 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, as well as a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution. We also offer tuition reimbursement and many other benefits.

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.

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