Attorney in Boston, MA

Public Interest

Boston, MA

Attorney in Boston, MA

Non-practicing Attorney

No

The National Cause Program (NCP) of FINRA is seeking a Principal Investigator to join their team. The NCP is responsible for investigating potential fraud and other misconduct within the securities industry. This position is available in various locations including Boca Raton, FL, Jersey City, NJ, Jericho, NY, Denver, CO, and Dallas, TX. The ideal candidate will have a Bachelor's degree or equivalent relevant experience, advanced knowledge of FINRA rules and federal securities laws, and demonstrated investigative experience. The salary range for this position varies based on location and other factors, but candidates can expect offers in the mid-point of the range. FINRA offers a comprehensive benefits package, including health, dental, and vision insurance, a 401(k) plan with company match, and paid time off.

Position: Principal Investigator, NCP - Any FINRA Location
Salary Range: Varies based on location and other factors
Location: Various locations including Boca Raton, FL; Jersey City, NJ; Jericho, NY; Denver, CO; and Dallas, TX
Time Type: Full-time
Job Requisition ID: R-009069
Posted On: Posted Today

Role and Responsibilities:

- Conduct investigations of varying risk and complexity independently
- Gather regulatory intelligence using internal systems and 8210 record requests
- Compile, analyze, and evaluate records and evidence
- Prepare for and participate in On-The-Record interviews
- Independently conduct interviews of relevant parties
- Identify exceptions, observations, and other findings and proactively escalate potential issues to management
- Analyze and evaluate firm records and systems
- Assist in identifying notable and emerging trends
- Train and mentor junior staff and new hires
- Participate in special projects as assigned

Education and Experience Requirements:

- Bachelor's degree or equivalent relevant experience required
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Demonstrated investigative experience
- Advanced written and verbal communication skills
- Ability to work quickly on multiple time-sensitive matters
- Exceptional attention to detail
- Proficiency in computer programs, including Microsoft Office
- Effective at building and managing relationships

Salary Information:

- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT*: Minimum Salary $95,300, Maximum Salary $171,800
- IL*: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600, Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200
- *Including positions performed outside the state but reporting to an office or manager in that state

Benefits:

- Comprehensive health, dental, and vision insurance
- 401(k) plan with company match
- Paid time off, including 15 days of vacation, 5 personal days, and 9 sick days (pro-rated in first year)
- Two volunteer service days
- Other paid leave, including military leave, jury duty leave, and bereavement leave
- Full-time employees receive nine paid holidays

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement
- Employees must comply with the company's policy on nepotism

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA
- All resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA

To Apply:

- Submit an application through the FINRA Careers site
- Applications are accepted on an ongoing basis

FINRA is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by the requirements of 41 CFR ) and 41 CFR ) prohibiting discrimination against qualified individuals on the basis of disability or protected veteran status.

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FINRA is committed to providing a work environment that is accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at . Please note that this process is exclusively for inquiries regarding application accommodations.