Principal Investigator (FINOP), National Cause Program Job at Finra
The Principal Investigator will be asked to to conduct risk-based investigations of FINRA member firms and registered representatives.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Essential Job Functions:
- Utilizes advanced knowledge of Financial Responsibility Rules (e.g.: SEA Rules 15c3-1, 15c3-3, 17a-3 and 17a-4) and credit risk (e.g. FINRA Rule 4210, Regulation T and Portfolio Margin) to lead investigations of various risk and complexity with minimal supervision.
- Gathers regulatory intelligence using internal systems and FINRA Rule 8210 record requests.
- Analyzes, assesses, and evaluates records.
- Prepares for and conducts On-The-Record interviews with minimal supervision.
- Conducts and facilitates interviews of relevant parties with minimal supervision.
- Identifies exceptions, observations, and other findings and drafts Examination Reports.
- Develops cases, memorializes investigations, and determines whether exceptions merit referral to Enforcement.
Education & Experience Requirements:
- Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred. Advanced degree/certification a plus.
- Investigations experience preferred.
- Significant securities, compliance, or financial regulatory experience.
Knowledge Requirement
- Advanced knowledge of securities rules and regulations.
- Advanced knowledge of firm business models, business lines, customer bases, products, and services.
- Advanced knowledge of all major review areas and the associated rule requirements.
- Intermediate knowledge of FINRA's risk fundamentals.
- Awareness and understanding of internal policies and protocols.
Skill Requirements:
- Ability to effectively articulate matters with high degree of complexity through verbal and written communications.
- Advanced critical thinking, research, and analytical skills.
- Advanced interviewing skills.
- Ability to work independently with minimal supervision.
- Ability to identify and prioritize risk.
- Ability to manage time effectively and complete assignments within budgeted time frames.
- Proficient in utilizing available internal resources (DCMs, etc.).
The salary rate for this position if the work is performed in New York, New York is a minimum of $104,100 annually to a maximum of $187,800 annually; 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.
Compensation Range for Colorado locations
Annual Salary: $86,800.00 - $156,500.00
#LI-Hybrid
To be considered for this position, please submit an application.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
Important Information
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
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.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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