Associate Principal Investigator, MI Customer Order Handling

2 months ago


Jersey City, United States finra Full time

The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation. The Associate Principal Investigator coaches less experienced colleagues in the completion of their investigations.

Essential Job Functions:

  • Conducts comprehensive investigations of possible violations of rules and federal securities laws with direct supervision.  
  • Researches and provides internal updates regarding rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases. 
  • Completes assigned tasks for testing and developing new analytics, investigative tools or processes that detect and deter violative activity, while maintaining and enhancing investigative methods and developing improved approaches for uncovering violations. 
  • Responsible for evidence gathering through verbal and written correspondence, including on-the-record testimony, with registered and associated persons, investors, company management, member and RSA non-member firms, and others under supervision. 
  • Raises issues that may require an investigative response to emerging regulatory risks and threats. 
  • Responsible for documentation of strategies, investigative steps, and investigate results, including referrals to Enforcement and outside agencies. 
  • Coaches less experienced colleagues in techniques, processes and responsibilities. 
  • Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.  

Education & Experience Requirements:

  • Bachelor’s degree and a minimum four (4) years of experience in the securities/financial services industry required with knowledge of regulatory compliance; or an equivalent combination of education and experience.  
  • Clear and convincing demonstration that investigative, organizational and decision-making capabilities are highly proficient. 
  • Demonstrated ability to independently initiate, strategize and complete complex investigations.
  • Demonstrated ability to work closely with management to develop policies and goals that maximize the resources of Market Regulation.
  • Demonstrated ability to accomplish specific Market Investigations mission and goals through excellent performance on special departmental projects.
  • Demonstrated ability to anticipate and serve internal/external customer needs. Demonstrated excellent communication skills. 

Working Conditions:

  • This is a hybrid position, with office attendance expected as deemed necessary.
  • Some travel may be required. 

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Salary $91,500, Maximum Salary $170,900

Washington, DC/Maryland: Minimum Salary $91,500, Maximum Salary $163,700
Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $79,500, Maximum Salary $142,300
New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
Washington State: Minimum Salary $79,500, Maximum Salary $163,700

#LI-Hybrid


  • Principal Investigator

    3 months ago


    Jersey City, United States DM Clinical Research Full time

    Job DescriptionJob DescriptionPrincipal Investigator (MD/DO)The Principal Investigator will conduct all clinical trials (studies) according to ICH, GCP, local regulations, study protocols, and company processes.ResponsibilitiesEnsures the medical well-being and safety of the participants through the safe performance and execution of the studies.Assists in...


  • Jersey City, New Jersey, United States DM Clinical Research Full time

    Job OverviewPosition: Principal Investigator (MD/DO)The Principal Investigator will oversee all clinical trials in accordance with ICH, GCP, local regulations, study protocols, and organizational procedures.Key ResponsibilitiesSafeguards the medical well-being and safety of study participants through the diligent execution of clinical trials.Maintains...


  • Jersey City, New Jersey, United States finra Full time

    Job SummaryThe 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...


  • Jersey City, New Jersey, United States Liberty Staffing USA Full time

    Job OverviewWe are seeking a dedicated and detail-oriented Order Processing Specialist to join our team. This role is essential for ensuring that customer orders are handled efficiently and accurately.Employment Type: Temp to HireCompensation: $16-$18/hourWork Schedule: Monday to Friday, 9 AM - 5 PM; Rotating WeekendsBackground Check: RequiredDrug Screening:...


  • Granite City, Illinois, United States ProAmpac Holdings, Inc. Full time

    Job SummaryProAmpac Holdings, Inc. is seeking a highly skilled Material Handling Associate to join our team. As a Material Handling Associate, you will be responsible for ensuring the efficient movement of materials and products throughout our warehouse.Key ResponsibilitiesOperate forklifts and other material handling equipment in a safe and efficient...


  • Jersey City, New Jersey, United States Enlightened, Inc. Full time

    Job OverviewPOSITION SUMMARY:The Customer Support Specialist will act as the primary contact for clients seeking assistance, employing established support protocols and diagnostic tools. The key responsibility of this position is to address inquiries and resolve issues from incoming communications, including phone calls and emails from customers. The...


  • Atlantic City, New Jersey, United States Oak View Group Full time

    Job SummaryWe are seeking a highly motivated and detail-oriented Retail Sales Associate to join our team at the Atlantic City Convention Center. As a Retail Sales Associate, you will be responsible for providing excellent customer service, operating a cash register, and maintaining a clean and organized work environment.Key ResponsibilitiesConduct cash...


  • Jersey City, New Jersey, United States FLIR Commercial Systems Inc (US) Full time

    About the Role:The Customer Service Representative - Order Administration will be responsible for ensuring a positive customer experience through the timely and accurate administration of new sales, return, and/or repair orders using the ERP system of record. This role will work closely with Purchasing, Logistics, and Service staff to obtain material...


  • Jersey City, New Jersey, United States FLIR Commercial Systems Inc (US) Full time

    About the Role:The Customer Service Representative will play a critical role in ensuring a positive customer experience by administering new sales, return, and/or repair orders in a timely and accurate manner. This position requires strong attention to detail, excellent communication skills, and the ability to work effectively in a dynamic and fast-paced...


  • Granite City, United States ProAmpac Holdings, Inc. Full time

    Description To perform this job successfully, an individual must be able to perform each essential job function satisfactorily. Reasonable accommodations may be made, upon request, to enable individuals with disabilities to perform the essential functions. Operates machine in a safe and proper manner, maintaining high production flow while exercising...


  • Granite City, Illinois, United States ProAmpac Full time

    Job OverviewThe Material Handling Associate plays a crucial role in ensuring the efficient operation of our warehouse. This position requires a dedicated individual who can meet essential job functions effectively. Reasonable accommodations may be made, upon request, to enable individuals with disabilities to perform the essential functions.Key...


  • Kansas City, United States The Robison Group Full time

    Job DescriptionJob DescriptionSalary: Individuals selected for the position will be expected to perform investigations of workers compensation claims, liability investigations, multi-line insurance claims, criminal and civil background checks, and other investigative tasks.The majority of cases worked in this position require stationary and mobile...


  • JERSEY CITY, United States Sysco Full time

    Company:  US0076 Sysco Metro New York, LLCZip Code:07305Minimum Level of Education:High School or EquivalentMinimum Years of Experience:2 YearsEmployment Type:Full TimeTravel Percentage:  0Compensation Range:$21.97 - $32.98The compensation range provided is in compliance with state specific laws.  Factors that may be used to determine your actual rate of...


  • Jersey City, New Jersey, United States 99 Ranch Market Full time

    About 99 Ranch Market 99 Ranch Market is a leading Asian supermarket chain with over 60 locations across the United States. We are dedicated to providing our communities with high-quality products and exceptional service, upholding our commitment of 'For 100, we try harder'. As we continue to expand and grow, we invite you to join our family. Job...


  • Jersey City, New Jersey, United States Active Staffing Services Full time

    Job OverviewWe are seeking a meticulous Warehouse Order Fulfillment Specialist to oversee the processing and completion of incoming customer orders, ensuring accuracy and efficiency. The specialist's duties encompass selecting, storing, packing, and monitoring inventory levels of products and equipment, as well as handling tasks related to the shipping and...


  • Oklahoma City, United States Customer Labs Full time

    Dexter, a premier manufacturer and distributor of axles, suspension, brakes, doors, venting products, trailer parts and accessories, and towing components serving the commercial trailer, RV, heavy-duty, marine, agriculture, and manufactured housing markets, has an opportunity for a Customer Service Representative, National Accounts at our distribution...


  • Jersey City, United States What Goes Around Comes Around Full time

    Overview: As the E-commerce Customer Care Associate, you will play a crucial role in ensuring our customers receive top-notch support throughout their shopping journey. You will be responsible for addressing customer inquiries, resolving issues, and providing assistance with orders, returns, and general inquiries. Responsibilities: Ensures quality customer...


  • Jersey City, United States What Goes Around Comes Around Full time

    Overview:As the E-commerce Customer Care Associate, you will play a crucial role in ensuring our customers receive top-notch support throughout their shopping journey. You will be responsible for addressing customer inquiries, resolving issues, and providing assistance with orders, returns, and general inquiries.Responsibilities:Ensures quality customer...


  • Jersey City, United States Fidelity Investments Full time

    Job Description:The RoleAs a member of the TechOps SRE team, you'll work closely with our engineering partners to help enable and drive initiatives from design to implementation. Our highly available multi-region Kubernetes (AWS EKS) environments are best-in-class and central to our enterprise-grade infrastructure strategy. These growing environments...


  • Jersey City, New Jersey, United States Groupe Dynamite Full time

    Position Title: Part-Time Sales AssociateJob Category: Sales Operations & Loss PreventionOverview:Join a leading global fashion retailer known for its dynamic brands, Garage and Dynamite. We are seeking a dedicated Sales Associate to enhance our team.Role Summary:The Sales Associate will report directly to the Store Manager, delivering outstanding customer...