Conducts time sensitive routine reviews and investigations of unusual trading activity to uncover potential violations of FINRA Rules and Federal Securities laws.
- Routinely analyzes exception reports in the area of primary responsibility for indications of potential violative activity.
- Compiles and organizes information from a variety of sources to be used in the development of investigations of potential violative activity. Through the review/investigative process the Investigator will resolve situations that may impact the integrity of the securities markets.
- Develops a thorough understanding and ability to implement the investigative techniques utilized in the respective area of primary responsibility.
- Develops working knowledge of relevant FINRA/SEC rules and regulations.
- Conducts telephone interviews which develop detailed material information.
- Gathers evidence through the submission of timely, well written requests for information from members, Issuers, customers and other constituents.
- Fully utilizes all work flow tracking systems in a timely manner.
- May independently conduct or assist others in field examinations
- Presents investigative findings (orally and in writing) to the SEC, management, and other constituents in an organized, concise and timely fashion.
- Provides excellent internal/external customer service.
- May assist in the training of new hires and others.
- May serve as back-up in a secondary area of responsibility on an as-needed basis.
- Works with National Cause and Financial Crimes Detection Programs managers to develop, organize and deliver training and staff development programs, as necessary.
- Mentors and trains newly hired or inexperienced staff and provides guidance to less-experienced staff, as necessary.
- Assists management in identifying emerging regulatory issues and trends.
- Bachelorâ€™s Degree or equivalent
- Three years of financial regulatory or equivalent work experience
- Substantial knowledge of relevant FINRA/SEC rules and regulations, securities markets, and member firm operations, books and records
- Excellent organizational, investigative and communication skills (oral and written)
- Effective at building and managing relationships
- Competence using a desktop computer with the full suite of office software applications
- Some extended hours and travel
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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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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 FINRAâ€™s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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.
FINRAâ€™s Code of Conduct imposes restrictions on employeesâ€™ 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 Codeâ€™s investment and securities account restrictions, and new employees must comply with those investment restrictionsâ€"including disposing of any security issued by a company on FINRAâ€™s Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentâ€"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 FINRAâ€™s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companyâ€™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 personâ€™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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