Associate Principal Investigator, Market Investigations-Customer Order Handling - FINRA

The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation. The Associate Principal Investigator coaches less experienced colleagues in the completion of their investigations.

Essential Job Functions:

• Conducts comprehensive investigations of possible violations of rules and federal securities laws with direct supervision.  
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases. 
• Completes assigned tasks for testing and developing new analytics, investigative tools or processes that detect and deter violative activity, while maintaining and enhancing investigative methods and developing improved approaches for uncovering violations. 
• Responsible for evidence gathering through verbal and written correspondence, including on-the-record testimony, with registered and associated persons, investors, company management, member and RSA non-member firms, and others under supervision. 
• Raises issues that may require an investigative response to emerging regulatory risks and threats. 
• Responsible for documentation of strategies, investigative steps, and investigate results, including referrals to Enforcement and outside agencies. 
• Coaches less experienced colleagues in techniques, processes and responsibilities. 
• Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.  

Education/Experience Requirements:

• Bachelor’s degree and a minimum four (4) years of experience in the securities/financial services industry required with knowledge of regulatory compliance; or an equivalent combination of education and experience.  
• Clear and convincing demonstration that investigative, organizational and decision-making capabilities are highly proficient. 
• Demonstrated ability to independently initiate, strategize and complete complex investigations.
• Demonstrated ability to work closely with management to develop policies and goals that maximize the resources of Market Regulation.
• Demonstrated ability to accomplish specific Market Investigations mission and goals through excellent performance on special departmental projects.
• Demonstrated ability to anticipate and serve internal/external customer needs. Demonstrated excellent communication skills. 

Working Conditions:

• This is a hybrid position, with office attendance expected as deemed necessary.
• Some travel may be required. 

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For work that is performed in CA, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, 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.

California: Minimum Salary $84,500, Maximum Salary $165,100

Colorado/Hawaii: Minimum Salary $76,800, Maximum Salary $137,500

New York, NY: Minimum Salary $92,200, Maximum Salary $165,100

Washington: Minimum Salary $76,800, Maximum Salary $158,200

#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.

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Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits. 

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 (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

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.

You can read more about these restrictions here.

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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