Principal Investigator, Specialist Team - All FINRA Locations
Principal Investigator, Specialist Team - All FINRA Locations
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Salary Not Disclosed
1 Vacancy
Job Description
Essential Job Functions:
- The Principal Investigator demonstrates a highly proficient level of competence in identifying risks developing regulatory strategies and executing those examination strategies to completion to address those risks.
- The Principal Investigator collaborates with Risk Monitoring Staff Firm Examination teams Cause Examinations and Enforcement Investigators & Attorneys as necessary.
- The Principal Investigator comprehensively documents strategies written requests to representatives and Firms investigative steps and investigate results including referrals to Enforcement and outside agencies.
- The Principal Investigator acts as a liaison and subject matter expert for various stakeholders throughout FINRA. The Principal Investigator executes those responsibilities with minimal supervision.
- Leads execution of high complexity investigations with limited guidance and minimal supervision.
- Conducts complex risk identification reviews.
- Conducts consultative tasks of high complexity with minimal supervision.
- Proficient in utilizing internal and external resources.
- Proactively identifies notable trends and participates in special projects in area of specialty.
- Provides training to FINRA personnel on complex investigations.
- Conducts and facilitates on the record interviews in collaboration with Enforcement as needed.
Education/Experience Requirements:
- Bachelors degree or equivalent relevant experience required; advanced degree or law degree preferred.
- Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
- Advanced knowledge of the securities markets and member firm operations and its books and records.
- Advanced written and verbal communications skills.
- Advanced ability to initiate and complete high quality reviews and investigations including an ability to work quickly on multiple timesensitive matters.
- Advanced organizational skills with exceptional attention to detail.
- Advanced proficiency using computer programs with the full suite of Office software applications
- Effective at building and managing relationships.
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 $109600 Maximum Salary $206200
CO/HI/MN/VT*: Minimum Salary $95300 Maximum Salary $171800
IL*: Minimum Salary $104900 Maximum Salary $189400
Jersey City NJ/NYC NY: Minimum Salary $114300 Maximum Salary $206200
MA/WA: Minimum Salary $95300 Maximum Salary $197600
MD/Washington DC: Minimum Salary $109600 Maximum Salary $197600
NJ State: Minimum Salary $104900 Maximum $206200
NY State: Minimum Salary $95300 Maximum Salary $206200
*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
