Associate Principal Investigator, Enforcement
Financial Industry Regulatory Authority - New York City, NY
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FINRA's Department of Enforcement (Enforcement) is tasked with investigating potential FINRA Rules and securities law violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons.The Associate Principal Investigator performs investigative functions for non-complex 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 risk-based investigative strategyIdentify key documents and compile evidence supporting a charge, demonstrating understanding of evidence, legal requirements, and potential defensesContribute 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 staffPlan for and participate in testimony of witnessesAccurately and succinctly discuss investigative findingsProvide effective testimony in litigationDraft information requests that are clear, complete, and targeted;Draft clear and complete summaries of factual findingsExecute effective customer interviewsPerform accurate data analysis in non-complex matters in accordance with well-established methodologies.Identify situations where new investigative or analytics tools and techniques could be usedEffectively describe routine data analysis and findings,Communicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approachesConduct accurate analysisEfficiently complete investigations in non-complex matters dependently meet deadlinesActively monitor investigations to ensure they are focused and targetedIdentify and escalate matters or issues that require re-prioritizationParticipate in case discussions and meetingsProvide work product that requires minimal change or re-directionCollaborate with legal staff to produce a sound factual record supported by a clear legal framework in non-complex 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 evidencePartner with legal staff to develop and execute an investigative plan to develop the record fully and effectivelyPresent and discuss factual findings with legal staffProvide legal staff with insight from industry experience andor subject matter expertise to help objectively assess the sufficiency of evidenceDemonstrate ability to complete non-complex investigations and provide high quality work in team-based environment.Work efficiently and accountably as part of a team to implement investigative plansPerform work in an efficient manner by leveraging collective knowledge and work across the organizationCommunicate effectively with other team members about factual and legal issues for analysisPromote a culture of inclusion in which the views of all team members are heard and considered, and colleagues treat one another with dignity and respectEducationExperience Requirements:Bachelor's degree preferably in Accounting, Business or Finance with a minimum of six (6) hours of accounting. Strong performance as an ExaminerAnalyst, or at least five years of experience in conducting financial and operational audits or enforcement-oriented investigations. Demonstrated communications ability and computer skills (e.g. Access, Excel, Word, PowerPoint).Work Conditions:Work is normally performed in an officemodular 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 candidate's skill set, level of experience, education, and internal peer compensation comparisonsCA: Minimum Salary $91,500, Maximum Salary $170,900COHIMNVT*: Minimum Salary $79,500, Maximum Salary $142,300IL*: Minimum Salary $87,500, Maximum Salary $156,600Jersey City, NJNYC, NY: Minimum Salary $95,400, Maximum Salary $170,900MAWA: Minimum Salary $79,500, Maximum Salary $163,700MDWashington, DC: Minimum Salary $91,500, Maximum Salary $163,700NJ: Minimum Salary $87,500, Maximum $170,900NY: Minimum Salary $79,500, Maximum Salary $170,500*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 mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.#LI-HybridTo 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 disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at . Please note that this process is exclusively for inquiries regarding application accommodations. 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, spousedomestic partner and dependent life, and spousedomestic 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 scheduleImportant InformationFINRA'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 RepresentativesPlease 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 disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at . Please 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 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.©2025 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
Created: 2025-02-23