Attorney in Los Angeles, CA

Public Interest

Los Angeles, CA

Attorney in Los Angeles, CA

Non-practicing Attorney

No

Principal Investigator, NCP - Investigate Fraud and Misconduct

Full Time Position with Competitive Salary Based on Location

Hiring Across Various Locations: Boca Raton, FL; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boston, MA; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los Angeles, CA

FINRA, the Financial Industry Regulatory Authority, is seeking a Principal Investigator for their National Cause Program (NCP) to investigate potential fraud and misconduct in the securities industry. As a Principal Investigator, you will lead investigations of varying risk and complexity, gather regulatory intelligence, request and evaluate records, conduct interviews, and analyze firm records and systems. This role offers a competitive salary and the opportunity to work in a supportive and collaborative environment.

Responsibilities:

- Independently lead investigations of varying risk and complexity
- Gather regulatory intelligence using internal systems and record requests
- Request and evaluate records, including financial statements and correspondence
- Conduct interviews with relevant parties
- Analyze and evaluate firm records and systems
- Identify exceptions, observations, and other findings and escalate potential issues to management
- Collaborate with Enforcement to develop cases
- Train and mentor junior staff and new hires
- Identify notable trends and escalate to management
- Participate in special projects as assigned

Requirements:

- Bachelor's degree or equivalent relevant experience
- Advanced knowledge of FINRA rules and federal securities laws
- Advanced investigative experience
- Advanced knowledge of securities markets and member firm operations
- Advanced written and verbal communication skills
- Advanced ability to initiate and complete high quality reviews and investigations
- Advanced organizational skills with exceptional attention to detail
- Advanced proficiency in Microsoft Office applications
- Effective at building and managing relationships

Education/Experience Requirements:

- Bachelor's degree or equivalent relevant experience
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Advanced investigative experience
- Advanced knowledge of securities markets and member firm operations
- Advanced written and verbal communication skills
- Advanced ability to initiate and complete high quality reviews and investigations
- Advanced organizational skills with exceptional attention to detail
- Advanced proficiency in Microsoft Office applications
- Effective at building and managing relationships

Salary Information:

- Based on location and other factors such as skill set, experience, and education
- Full salary ranges provided for candidate's growth potential

Benefits of Working at FINRA:

- Comprehensive health, dental, and vision insurance
- Basic and supplemental life, accidental death and dismemberment, and disability insurance
- Immediate participation and vesting in 401(k) plan with company match
- Tuition reimbursement and commuter benefits
- Additional benefits to support employee wellness, 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 first year)
- 2 volunteer service days (based on full-time schedule)
- Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- 9 paid holidays (based on full-time schedule)

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 and 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

FINRA is committed to creating an inclusive and diverse workplace. 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 ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Apply now to join FINRA's team as a Principal Investigator for their National Cause Program and make a difference in the securities industry.