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Principal Investigator, NCP - IRG All FINRA Locations

Company: Financial Industry Regulatory Authority
Location: Denver
Posted on: January 16, 2022

Job Description:

FINRA's Initial Review Group (IRG) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators, with an eye toward quickly identifying and escalating higher-risk matters. The Principal Investigator, IRG, will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading.Upon receipt of a triggering event (tip, complaint, firm filing, etc.), IRG investigators:(1) Analyze the information received and identify the regulatory issues raised to determine, among other things, whether FINRA has jurisdiction; (2) Collect and analyze additional relevant information obtained from internal and external systems to assess the risk to the investing public and the securities markets; (3) Collaborate with other internal and external stakeholders as needed to share relevant information; and (4) Make well-reasoned recommendations for the appropriate regulatory response (i.e., referral to NCP for cause exam or to another FINRA department for further investigation, referral to the appropriate regulatory agency, or close the matter with no further review).Essential Job Functions:Reviews triggering event information and clarifies firm filing information by contacting firm personnel in order to determine jurisdiction of individuals, products, accounts, and firms identified in triggering eventsGathers background intelligence using external and internal resources (including people and systems) in order to assess risk and regulatory implications and determine appropriate intake dispositionPerforms additional outreach, as needed, including requests for additional information from the complaint/tip submitter and/or firm in order to analyze the regulatory intelligenceConducts interviews with relevant parties (e.g. firms, reps, customers, attorneys) in order to gather facts related to the matterAssesses and analyzes information gathered in order to identify if there are potential violations of FINRA rules and/or federal securities laws, and if it is appropriate to expand the scope of the reviewIdentifies and elevates apparent trends to manager, to be raised to internal FINRA groups (e.g. firm, industry, product trends)Collaborates within NCFC, and with other FINRA departments as needed (e.g. Enforcement), to share relevant informationRecommends and drafts appropriate assessment dispositions, including closing the matter, issuing cautionary action, promoting to investigation, or referring to internal or external partiesParticipates in special projects to address ongoing program enhancements, as assignedTrains and mentors junior staff and new hiresConducts specialized areas of review (e.g. MSRB, BSA, SEC referrals), as assignedOther Responsibilities:Education/Experience Requirements:Bachelor's 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 time-sensitive matters.Advanced organizational skills with exceptional attention to detail.Advanced proficiency using computer programs with the full suite of Office software applicationsEffective at building and managing relationships.Compensation Range for Colorado locationsAnnual Salary: $84,300.00 - $151,900.00To 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 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 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 is an Equal Opportunity and Affirmative Action EmployerAll 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.2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.SummaryLocation: Denver, CO (Job Posting); Kansas City, MO (Job Posting); Jericho, NY (Job Posting); Dallas, TX (Job Posting); Chicago, IL (Job Posting); Boston, MA (Job Posting); Boca Raton, FL (Job Posting); Atlanta, GA (Job Posting); Woodbridge, NJ (Job Posting); Washington, DC (Job Posting); San Francisco, CA (Job Posting); Rockville, MD (Job Posting); Philadelphia, PA (Job Posting); New York, NY (Job Posting); New Orleans, LA (Job Posting); Los Angeles, CA (Job Posting)Type: Full time

Keywords: Financial Industry Regulatory Authority, Denver , Principal Investigator, NCP - IRG All FINRA Locations, Other , Denver, Colorado

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