Financial Industry Regulatory Authority, Inc.
Associate Principal Investigator, Market Investigations - Market Abuse
Financial Industry Regulatory Authority, Inc., Washington, District of Columbia, us, 20022
Associate Principal Investigator, Market Investigations - Market AbuseLocations: Rockville, MD; Jersey City, NJ; Denver, CO; Dallas, TX; Chicago, IL
Time Type: Full time
Posted on: Posted 4 Days Ago
Job Requisition ID: R-008576
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 investigative 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, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA 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.
Salary Range:
CA: Minimum Salary $91,500, Maximum Salary $170,900
CO/HI/MN/VT: Minimum Salary $79,500, Maximum Salary $142,300
IL: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900
MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.
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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Time Type: Full time
Posted on: Posted 4 Days Ago
Job Requisition ID: R-008576
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 investigative 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, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA 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.
Salary Range:
CA: Minimum Salary $91,500, Maximum Salary $170,900
CO/HI/MN/VT: Minimum Salary $79,500, Maximum Salary $142,300
IL: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900
MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.
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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