Attorney in Boca Raton, FL

Public Interest

Boca Raton, FL

Attorney in Boca Raton, FL

Non-practicing Attorney

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Associate Principal Investigator, NCP - IRG - All FINRA Locations

About FINRA

FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry – brokerage firms doing business with the public in the United States. FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel and offers them education and training, and informs the investing public. In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. FINRA also administers a dispute resolution forum for investors and brokerage firms and their registered employees. To learn more, visit .

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Some of the reasons we provide a great place to work:

Competitive base salary, performance based annual bonus, plus incentive compensation plans
Work-life balance and flexibility
Comprehensive benefits package including: medical, dental, vision, life and disability insurance, 401(k) with company match, retirement contributions, tuition reimbursement, employee assistance program, domestic partner program and others
Wellness initiatives, including onsite flu shots and health screenings
Onsite employee gyms (select locations)
Generous paid time off, including maternity and parental leave
Employee Stock Purchase Plan
Referral bonuses
And more...

Associate Principal Investigator, NCP - IRG - All FINRA Locations

FINRA is seeking a well-qualified individual for our Associate Principal Investigator, NCP - IRG - All FINRA Locations opening in Woodbridge, NJ, Jersey City, NJ, Jericho, NY, Denver, CO, and Dallas, TX.

To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

The Associate Principal Investigator, IRG, will perform Intake & Assessment with moderate supervision, and will demonstrate competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading. This position will be located in Woodbridge, NJ, Jersey City, NJ, Jericho, NY, Denver, CO, and Dallas, TX.

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 (. firms, reps, customers, attorneys) in order to gather facts related to the matter
Assesses and analyzes information gathered in order to identify if there are potential violations of FINRA rules and/or federal securities laws, and if it is appropriate to expand the scope of the review
Identifies and elevates apparent trends to manager, to be raised to internal FINRA groups (. firm, industry, product trends)
Collaborates within NCFC, and with other FINRA departments as needed (. Enforcement), to share relevant information
Recommends and drafts appropriate assessment dispositions, including closing the matter, issuing cautionary action, promoting to investigation, or referring to internal or external parties
Participates in special projects to address ongoing program enhancements, as assigned
Trains and mentors junior staff and new hires
Conducts specialized areas of review (. MSRB, BSA, SEC referrals), as assigned

Education/Experience Requirements:

Bachelor’s degree or equivalent relevant experience; required. Advanced degree or law degree, preferred.
Substantive knowledge of relevant FINRA rules and the federal securities laws.
Substantive knowledge of the securities markets and member firm operations and its books and records.
Strong written and verbal communications skills.
Demonstrated ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.
Strong organizational skills with exceptional attention to detail.
Proficiency using computer programs with the full suite of Office software applications.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $94,200, Maximum Salary $176,000

CO/HI/MN/VT*: Minimum Salary $81,900, Maximum Salary $146,600

IL*: Minimum Salary $90,100, Maximum Salary $161,300
Jersey City, NJ/NYC, NY: Minimum Salary $98,300, Maximum Salary $176,000

MA/WA: Minimum Salary $81,900, Maximum Salary $168,600

MD/Washington, DC: Minimum Salary $94,200, Maximum Salary $168,600
NJ State: Minimum Salary $90,100, Maximum $176,000

NY State: Minimum Salary $81,900, Maximum Salary $176,000

*Including positions performed outside the state but