Senior Investigator, NCP IRG All Finra Locations

What Youll Do

• Serve as a Regulatory Gatekeeper: Evaluate regulatory intelligence from multiple sourcestips complaints firm filings arbitration cases and referrals from other regulatorsto quickly identify high-risk matters requiring immediate attention
• Conduct Strategic Investigations: Lead investigations of low-to-moderate complexity gathering evidence from internal systems firm records and stakeholder interviews to build comprehensive case assessments
• Make Critical Decisions: Analyze jurisdiction assess risk to investors and markets and make well-reasoned recommendations for appropriate regulatory responseswhether thats escalating to cause exams referring to other departments or agencies or closing matters
• Master the Evidence: Review and analyze firm financial statements trading records correspondence order management systems and supervisory alerts to identify patterns sales practice violations and emerging risks
• Interview Key Players: Conduct and facilitate interviews with registered representatives firm management investors and other parties to gather critical information and evidence
• Collaborate Across the Regulatory Landscape: Partner with internal departments and external regulatory agencies to share intelligence and coordinate responses to protect investors
• Document with Precision: Memorialize facts and evidence in clear concise well-organized reports that support your investigative findings and recommendations
• Stay Ahead of Trends: Proactively identify emerging industry practices products and procedures that may present new risks to investors
• Grow and Contribute: Take initiative on additional assignments volunteer for projects beyond core responsibilities and continue developing your investigative and regulatory expertise

Required Qualifications

Education & Experience:

• Bachelors degree or equivalent relevant experience

Knowledge:

• Understanding of relevant FINRA rules and federal securities laws

• Knowledge of securities markets member firm operations and regulatory books and records

• Demonstrated track record of risk analysis and proactive risk identification

Skills:

• Strong written and oral communication abilitiesyou can clearly articulate complex regulatory issues to diverse audiences

• Excellent analytical skills with the ability to assess and prioritize risks effectively

• Strong decision-making capabilities particularly in identifying significant regulatory issues and their broader impact

• Proven ability to conduct investigations efficiently and manage time-sensitive matters in high-volume environments

• Exceptional time management and organizational skills with meticulous attention to detail

• Strong collaboration skillscomfortable working professionally with colleagues management member firms and external parties

• Proficiency with Microsoft Office suite and computer-based investigative tools

Preferred Qualifications

• Advanced certifications or credentials in securities compliance or investigations

• Prior experience in regulatory investigations broker-dealer compliance or enforcement

• Experience working in fast-paced investigative or regulatory environments

• Familiarity with trading systems surveillance tools and financial analysis

What Makes You a Great Fit

Youre naturally curious and tenaciouswhen you see a regulatory red flag you cant help but dig deeper. You thrive under pressure and can juggle multiple complex investigations without missing critical details. Youre a clear thinker who can synthesize vast amounts of information quickly and make sound judgments about what matters most. You communicate with clarity and confidence whether youre interviewing a firm executive or briefing senior management. Most importantly youre driven by purpose: protecting investors and maintaining the integrity of our financial markets isnt just a jobits a calling.

Work Environment

Enjoy the flexibility of a hybrid work model with defined in-person collaboration requirements allowing you to balance independent investigative work with meaningful team collaboration.

Ready to be on the front lines of investor protection Join FINRAs Initial Review Group and put your investigative skills to work defending market integrity and safeguarding investors every single day.

#LI-Hybrid

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.

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt 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 long-term disability long-term 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 FINRA-funded 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 time-off program of 15 days of paid time off 5 personal days and 9 sick days unless otherwise required by law (all pro-rated in the first year). Additionally we are proud to support our communities by providing two volunteer service days (based on full-time 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). Full-time employees receive nine paid holidays.

*Based on full-time 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 broker-dealers 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 (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.

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 is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category including race color age national origin ethnicity religion disability genetic information military or veteran status sex or any other status or classification protected by state or local law.

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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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