Attorney in Denver, CO

Public Interest

Denver, CO

Attorney in Denver, CO

Non-practicing Attorney

No

About FINRA

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

FINRA is an equal opportunity employer and provides equal employment opportunity to all individuals regardless of race, color, religion, gender, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other characteristic protected by law. FINRA abides by the requirements of 41 CFR ). 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 ). 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 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.



FINRA is currently seeking a Principal Investigator for their National Cause Program (NCP). This position will be responsible for conducting thorough investigations of potential fraud and misconduct from various sources, including regulatory filings, investor complaints, tips, and other sources. The Principal Investigator will also provide subject matter expertise throughout the course of investigations and assist in identifying risk using internal and external systems. The role will also involve conducting advanced data analysis and providing a high-level summary of investigative findings and next steps. This is a full-time position with a competitive salary based on location and experience.

Responsibilities:

- Conduct thorough investigations of varying risk and complexity
- Gather regulatory intelligence using internal systems and 8210 record requests
- Request, compile, analyze, assess, and evaluate records
- Prepare for and participate in On-The-Record interviews
- Conduct and facilitate interviews of relevant parties
- Identify exceptions, observations, and other findings and escalate potential formal 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

Requirements:

- Bachelor's degree or equivalent relevant experience, advanced degree or law degree preferred
- Advanced knowledge of FINRA rules and federal securities laws
- Demonstrated investigative experience
- Advanced knowledge of securities markets and member firm operations
- Advanced written and verbal communication skills
- Ability to initiate and complete high-quality reviews and investigations in a timely manner
- Exceptional organizational skills with attention to detail
- Proficiency in using computer programs, including the full suite of Office software applications
- Effective at building and managing relationships

Salary Information:

- Salary ranges vary by location and are based on various factors, including skills, experience, and education
- Candidates can expect offers within the minimum to mid-point of the salary range
- Below are the salary ranges for locations where work is performed:
- 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
- Basic and supplemental life, accidental death and dismemberment, and disability insurance
- Retirement plans with company match and additional contributions
- Tuition reimbursement
- Commuter benefits
- Other wellness benefits, such as adoption assistance, backup family care, and wellness programs

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures related to our role as a securities regulator
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements
- Employees must comply with investment restrictions, including disposing of any security on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President, by the date they begin employment
- Employees may only maintain securities accounts at firms that provide an e-feed of data to FINRA within three months of beginning employment
- FINRA's Employee Confidentiality and Invention Assignment Agreement must be executed without qualification or modification
- FINRA has a policy on nepotism

About FINRA:

- FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.
- FINRA is an equal opportunity employer and provides equal employment opportunity to all individuals regardless of race, color, religion, gender, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other characteristic protected by law
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) regarding discrimination against qualified individuals with disabilities and protected veterans, respectively
- ©2019 **MEMBERS ONLY**SIGN UP NOW***.