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Job Opening details:-
Company Name :- Finra
Position Name :- Investigator, NCP – Any FINRA Location
Company Location :- New York, NY
Job Category :- GENERAL
Full Job Description :-
FINRA’s National Cause Program (NCP) is charged with the investigation of cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. The Investigator, NCP, is responsible for (1) conducting extensive background searches of FINRA member firms and registered representatives in support of open FINRA investigations in the NCP; (2) providing subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems; and (3) providing an advanced level of in-depth data analysis for NCP investigations with respect to conducting reviews and subsequently providing a high-level summary of their investigative findings and suggested next steps.
Essential Job Functions:
Leads investigations of varying risk and complexity with moderate supervision
Gathers regulatory intelligence using internal and external resources and 8210 record requests
Requests and compiles, analyzes, assesses, and evaluates records
Prepares for and participates in On-The-Record interviews with moderate supervision
Conducts and facilitates interviews of relevant parties with moderate supervision
Identifies exceptions, observations, and other findings and proactively escalates potential formal issues to management.
Identifies and memorializes the facts and evidence needed to support recommended dispositions, and collaborates with Enforcement to develop cases, as needed
Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.), with moderate supervision
Participates in special projects, as assigned
Education & Experience Requirements
Bachelor’s degree or equivalent relevant experience required. Advanced degree or law degree, preferred.
Basic knowledge of relevant FINRA rules and the federal securities laws.
Basic knowledge of the securities markets and member firm operations and its books and records.
Strong written and verbal communications skills.
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.
Competence using computer programs with the full suite of Office software applications.
Compensation Range for Colorado locations
Annual Salary: $54,200.00 – $96,000.00
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 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.
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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