Senior Principal Investigator NCP - IRG - All FINRA Locations
Senior Principal Investigator NCP - IRG - All FINRA Locations
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Job Description
In addition to performing Intake & Assessment with minimal supervision the Senior Principal Investigator leads strategic and collaborative efforts for IRG to proactively respond to significant increases and/or changes in filings due to market events assist in eliminating operational risk across the department and work crossoperationally with senior management.
Essential Job Functions:
- Lead and strategize on the departmental response(s) and processing of inflow matters to IRG stemming from Market Events including volume surges related to issuer(s) events outages or other system failures impacting a significant amount of investors
- Proactively identify notable and emerging trends including pattern recognition and develop strategies to address findings. Provide timely guidance related to Firm Groupings/SubGroupings and FINRA initiatives
- Actively collaborate with senior management to identify crossoperational risk and responsibilities during critical volume surges throughout the year
- Develop and maintain department playbooks to ensure consistent strategic plan and process in addressing any anticipated market events.
- Research analyze and prepare essential data point support for operational metrics including pattern recognition and technology advancements. Interface with internal and external stakeholders to contribute to the reporting of trends metrics and analysis of Market Events
- Independently lead and execute on highest impact and highest risk events and/or firms including programmatic approach to Market Events including:
- Leading and strategizing on matters involving highrisk firms with significant regulatory and industry impact and risks that impact the general investing public
- Responsible for leading reviews involving ongoing fraud emerging fraudulent schemes complex products highrisk and systemic issues
- Independently conduct reviews and approvals of Market Event summaries. Support IRG staff in their assessment and processing of Market Events and provide feedback and guidance
- Identify and facilitate training needs related to Market Events including relevant training coaching and mentoring for staff across departments
- Demonstrate specialization (preferred but not required) in critical areas such as products types of firm businesses and structures and investigative techniques (i.e. AML fraud forensics accounting etc.
- Participate in internal and external meetings including representing IRG at industry conferences and meetings with other regulators
- Regularly lead and participate in initiatives and special projects including:
- Leading and/or assisting with responses to oversight and access requests and referral exhibit requests
- Conducting and/or facilitating Quality Assurance reviews
Education/Experience Requirements:
- Bachelors degree or equivalent relevant experience required. Advanced degree or law degree preferred.
- Experience in the securities/financial industry with substantive knowledge of regulatory compliance in positions of increasing responsibility.
- Expert knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
- Expert knowledge of the securities markets and member firm operations and its books and records.
- Demonstrated ability to interact effectively and in a positive manner with management peers and other constituencies to accomplish the mission and goals of NCFC.
- Demonstrated ability to produce highquality written work product.
- Highly advanced written and verbal communication skills including outstanding interpersonal and presentation skills.
- Highly advanced organizational skills with excellent attention to details including an ability to work quickly on multiple timesensitive matters.
Knowledge Requirements:
- AdvancedtoExpert knowledge of securities rules and regulations
- AdvancedtoExpert knowledge of firm business models business lines customer bases products and services
- AdvancedtoExpert knowledge of all major review areas and the associated rule requirements
- IntermediatetoAdvanced knowledge of FINRAs risk fundamentals
- Awareness and understanding of internal policies and protocols
Skill Requirements:
- Consistently and effectively articulates matters with highest degree of complexity through verbal and written communications
- Expert critical thinking research and analytical skills
- Expert interviewing skills
- Consistently works independently with limited supervision
- Advanced ability to identify and prioritize risk
- Consistently manages time effectively and completes assignments within budgeted time frames
- Proficient in utilizing available internal resources (DCMs etc.
Working Conditions:
- Work is normally performed in a hybrid office environment.
- Extended hours may be required.
*Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the midpoint of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LIHybrid
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 into your browser to reach our site directly.
FINRA strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Nonexempt employees are also eligible for overtime pay in accordance with federal state or local law. As part of its dedication to employee wellness FINRA provides comprehensive health dental and vision insurance. Additional insurance includes 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 longterm disability longterm care business travel accident disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRAfunded retirement contribution tuition reimbursement commuter benefits and other benefits that support employee wellness such as adoption assistance backup family care surrogacy benefits employee assistance and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways including through a generous timeoff program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all prorated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on fulltime schedule). Other paid leave includes military leave jury duty leave bereavement leave voting and election official leave for federal state or local primary and general elections care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Fulltime employees receive nine paid holidays.
*Based on fulltime schedule
Important Information
FINRAs 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 brokerdealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 (efeed) of data to FINRA and must move securities accounts from other securities firms to a firm that provides an efeed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice employees must also execute FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys 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 strives to make our career site accessible to all users. If you need a disabilityrelated accommodation for completing the application process please contact FINRAs Employee Relations team at 240.386.4865 or by email atPlease note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age citizenship status color disability marital status national origin race religion sex veteran status or any other classification protected by federal state or local laws.
FINRA abides by the requirements of 41 CFR 60741.5(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 60300.5(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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Required Experience:
Staff IC
Employment Type
Full-Time
