Associate Principal Investigator, Data Specialist Team

The Associate Principal Investigator, Specialist Teams, conducts moderate-to-high complexity routine and special investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. This is an advanced level, professional position that requires an expanded skillset, moderate guidance and minimal supervision, and leading and training others. Essential Job Functions: The Associate Principal Investigator demonstrates a proficient level of competence in identifying risks, developing regulatory strategies and executing those examination strategies to completion to address those risks. The Associate Principal Investigator collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary. The Associate Principal Investigator comprehensively documents strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies. The Associate Principal Investigator acts as a liaison and subject matter expert for various stakeholders throughout FINRA. The Associate Principal Investigator executes those responsibilities with moderate supervision. Conducts moderate-to-high complexity routine and special investigations under moderate supervision. Effectively utilizes internal and external resources. Collaborates with other FINRA personnel regarding investigations. Provides guidance and/or training to FINRA personnel on complex investigations. Participates in special projects and other regulatory efforts. Education & Experience Requirements: Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred. Substantive knowledge of relevant FINRA rules and the federal securities laws. Substantive knowledge of the securities markets and member firm operations and its books and records. Strong written and verbal communications skills. Demonstrated ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters. Strong organizational skills with exceptional attention to detail. Proficiency using computer programs with the full suite of Office software applications. 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. Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. 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. 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