• Financial Industry Regulatory Authority
  • $75,040.00 -132,960.00/year*
  • Philadelphia , PA
  • Law Enforcement
  • Full-Time
  • 1103 Market St

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We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Associate Principal Investigator opening in any FINRA Location. To be considered for this position, please submit your resume through our career site at www.finra.org/careers ? no phone calls, please.

Job Summary:

The Associate Principal Investigator independently performs investigative functions for non-complex Enforcement cases in order to develop complete and factual investigative records, and makes meaningful contributions to more complex Enforcement matters.

Essential Job Functions:

* Develop complete and accurate factual record with input from managers.

* Determine and execute an effective risk-based investigative strategy;

* Identify key documents and compile evidence supporting a charge, demonstrating understanding of evidence, legal requirements, potential defenses and Principal Considerations;

* Accurately and objectively assess and communicate with legal staff re: areas of weakness or ambiguity in factual findings;

* Plan for and participate in and/or conduct OTRs of witnesses, developing an effective transcript through active listening, follow-up, and knowledge of the record;

* Accurately and succinctly discuss issues in internal meetings;

* Provide effective testimony in litigation

* Draft requests for information that are clear, complete, and targeted;

* Draft clear and complete summaries of factual findings

* Execute effective customer interviews;

* Investigate Principal Considerations affecting sanctions

* Perform accurate data analysis in non-complex matters in accordance with well-established methodology.

* Conduct routine analysis in accordance with well-developed methodology

* Identify and escalate when different models or calculations have been used in the past, and participate in discussions about the best approach to data analysis in order to ensure consistency in matters across FINRA;

* Identify situations where new investigative or analytics techniques are needed;

* Effectively describe routine data analysis and findings, noting exceptions or assumptions embedded in analysis;

* Identify interpretive or novel issues;

* Communicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings

* Efficiently complete investigations in noncomplex matters timely.

* Independently meet deadlines;

* Actively monitor investigations to ensure they are focused and targeted;

* Identify and escalate matters or issues that require re-prioritization;

* Avoid unnecessary investigative steps and identify necessary inquiries in real time;

* Participate in case discussions and meetings, facilitating efficient progress of the case

* Provide work product that requires minimal change or re-direction;

* Prioritize risks and needs appropriately

* Collaborate with legal staff to produce a sound factual record supported by a clear legal framework in non-complex matters.

* Ensure that information requests are guided by a clearly defined legal framework;

* Incorporate legal guidance into investigation planning and execution throughout the course of the matter;

* Provide clear and accurate factual findings to legal staff;

* Work effectively with legal staff to ensure that written descriptions of factual findings are supported by the record, accurate and clear

* Partner with legal staff to plan investigation and fully develop the record;

* Identify and discuss relevant and accurate factual findings with legal staff;

* Provide legal staff with insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence

* Demonstrate ability to complete non-complex investigations, and provide high quality work in team-based matters.

* Identify opportunities to work with other staff or leverage other matters for more efficient results;

* Perform work in an efficient manner by leveraging collective knowledge and work across the organization;

* Effectively communicate with other team members about factual and legal issues for analysis;

* Participate in ongoing dialogue with other investigators and managers about analysis and interpretive issues;

* Keep managers informed and incorporate feedback into planning and execution

* Conduct accurate investigation and analysis;

* Present and discuss information accurately and succinctly

Education/Experience Requirements:

* Bachelor's degree in Finance, Accounting, or related field, or the equivalent; MBA preferred.

* Five (5) years of directly related experience.

* Substantial knowledge of rules, regulations, and guidelines governing the securities industry.

* Competence using a desktop computer with the full suite of office software applications.

Working Conditions:

* Work outside of business hours and overnight 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.

Please note: If the \"Apply Now\" button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers 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.###.####. 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 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.

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.

FINRA will consider qualified applications with criminal histories in a manner consistent with the Los Angeles Fair Chance Initiative Ordinance.

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.


FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC's oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA's independent regulation plays a critical role in America's financial system?all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business?from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work?and view our current openings?at www.finra.org/careers.

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.

?2019 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
Associated topics: crime scene, detective, fingerprint, inspector, investigate, investigation, investigative, investigator

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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