Associate Principal Investigator Enforcement
Associate Principal Investigator Enforcement
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Salary Not Disclosed
1 Vacancy
Job Description
The Associate Principal Investigator performs investigative functions for noncomplex securities cases in order to develop complete and factual investigative records and make meaningful contributions to more complex securities matters.
Essential Job Functions:
Develop a complete and accurate factual record with input from managers.
- Determine and execute an effective riskbased investigative strategy
- Identify key documents and compile evidence supporting a charge demonstrating understanding of evidence legal requirements and potential defenses
- Contribute to the creation of investigative plans in collaboration with other investigators and the legal staff and keep plan updated throughout an investigation;
- Accurately and objectively assess weaknesses and ambiguities in factual findings and discuss them with legal staff
- Plan for and participate in testimony of witnesses
- Accurately and succinctly discuss investigative findings
- Provide effective testimony in litigation
- Draft information requests that are clear complete and targeted;
- Draft clear and complete summaries of factual findings
- Execute effective customer interviews
Perform accurate data analysis in noncomplex matters in accordance with wellestablished methodologies.
- Identify situations where new investigative or analytics tools and techniques could be used
- Effectively describe routine data analysis and findings
- Communicate with other investigative units across FINRA to problemsolve and resolve conflicts in investigative approaches
- Conduct accurate analysis
Efficiently complete investigations in noncomplex matters timely.
- Independently meet deadlines
- Actively monitor investigations to ensure they are focused and targeted
- Identify and escalate matters or issues that require reprioritization
- Participate in case discussions and meetings
- Provide work product that requires minimal change or redirection
Collaborate with legal staff to produce a sound factual record supported by a clear legal framework in noncomplex matters.
- Provide clear and accurate written factual findings to legal staff Work effectively with legal staff to ensure that written descriptions of factual findings are supported by the evidence
- Partner with legal staff to develop and execute an investigative plan to develop the record fully and effectively
- Present and discuss factual findings with legal staff
- Provide legal staff with insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence
Demonstrate ability to complete noncomplex investigations and provide high quality work in teambased environment.
- Work efficiently and accountably as part of a team to implement investigative plans
- Perform work in an efficient manner by leveraging collective knowledge and work across the organization
- Communicate effectively with other team members about factual and legal issues for analysis
- Promote a culture of inclusion in which the views of all team members are heard and considered and colleagues treat one another with dignity and respect
Education/Experience Requirements:
Bachelors degree preferably in Accounting Business or Finance with a minimum of six 6 hours of accounting.
Strong performance as an Examiner/Analyst or at least five years of experience in conducting financial and operational audits or enforcementoriented investigations.
Demonstrated communications ability and computer skills (e.g. Access Excel Word PowerPoint).
Knowledge in brokerage financial/operational issues (Net Capital computations Customer Protection Rule brokerage operations and accounting margin) Market Regulation issues (Regulation SHO Best Market Access Rule) or Fixed Income trading issues will be preferred .
Work Conditions:
- Work is normally performed in an office/modular environment at FINRA.
- Overnight travel and extended hours are frequently required.
- Work environment includes high productivity expectations and tight deadlines.
For work that is performed in CA CO HI MN VT IL Jersey City NJ New York City NY MA WA MD Washington DC NJ State and NY State please refer to the chart below for the salary range for the corresponding location. In addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and internal peer compensation comparisons.
CA: Minimum Salary $94200 Maximum Salary $176000
CO/HI/MN/VT*: Minimum Salary $81900 Maximum Salary $146600
IL*: Minimum Salary $90100 Maximum Salary $161300
Jersey City NJ/NYC NY: Minimum Salary $98300 Maximum Salary $176000
MA/WA: Minimum Salary $81900 Maximum Salary $168600
MD/Washington DC: Minimum Salary $94200 Maximum Salary $168600
NJ State: Minimum Salary $90100 Maximum $176000
NY State: Minimum Salary $81900 Maximum Salary $176000
*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
