Public Interest

Los Angeles, CA, United States

Associate Principal Investigator, NCP - IRG

Non-practicing Attorney

Full-time

No

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 events gathers background intelligence using external and internal resources (including people and systems) in order to assess risk and regulatory implications and determine appropriate intake disposition performs additional outreach, as needed, including requests for additional information from the complaint/tip submitter and/or firm in order to analyze the regulatory intelligence conducts interviews with relevant parties (e. if you need a disability-related accommodation for completing the application process, please contact finra's employee relations team at 240. 4865 or by email at employeerelations@finra. 4865 or by email at employeerelations@finra.org. 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

Legal

Hiring Coordinator
FINRA.
300 South Grand Avenue
16th Floor
Los Angeles, CA 90071