Investigator, Front-End Cause Unit

    • Rockville, MD

The Investigator applies procedures and analytical skills to conduct and coordinate the initial processing of investor complaints, regulatory tips, terminations for cause, disclosure events, arbitration claims, and other cause matters regarding broker-dealers and associated persons through National Cause and Financial Crimes Detection Programs’s Central Review Group. This position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under direct management supervision.

Essential Job Functions:

  • Conduct and coordinate the initial processing of investor complaints, regulatory tips, terminations for cause, disclosure events, arbitration claims, and other various cause matters regarding broker-dealers and associated persons, as well as other market and regulatory information.
  • Identify potential fraudulent conduct or schemes in an expedited manner and escalate to senior level supervisors any matters which contain high-risk regulatory issues.
  • Effectively execute the front-end analysis and processing of cause matters.
  • Effectively communicate, collaborate and coordinate with other National Cause and Financial Crimes Detection Programs sections, Market Regulation, District Offices, Enforcement, Advertising/Investment Company Regulation, Corporate Finance, Dispute Resolution, RAD and other regulators as appropriate.
  • Prepare high quality written work product detailing a careful analysis of matters reviewed.
  • Effectively learn and utilize internal data systems and software applications.
  • Effectively communicate with and make inquiries to member firms.
  • Effectively communicate with investors and tippers.
  • Work with staff in identifying emerging industry sales practice trends.


Other Responsibilities:
  • Participate in special assignments and staff working groups, including national projects, as needed.


Education/Experience Requirements:
  • Bachelor’s degree from an accredited college or university.
  • A minimum of one year of relevant experience.
  • Knowledge of FINRA’s rules and the federal securities laws.
  • Knowledge of the securities markets and member firm operations and books and records.
  • Ability to complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
  • Strong written and verbal communication skills, including an ability to gather evidence through the use of telephone interviews.
  • Strong organizational skills with exceptional attention to detail.
  • Competence using computer programs with the full suite of office software applications.


Working Conditions:
  • Office environment.
  • Work outside of business hours may be required.
  • Some travel may be required.

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 FINRA’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.

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 restrictionsâ€"including disposing of any security issued by a company on FINRA’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 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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