Senior Principal Investigator, NCP - IRG - All **MEMBERS ONLY**SIGN UP NOW***. Locations
Job Title: Senior Principal Investigator, NCP - IRG
Organization: **MEMBERS ONLY**SIGN UP NOW***.
Department: Initial Review Group (IRG)
Location: All **MEMBERS ONLY**SIGN UP NOW***. Locations (Boston, MA; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Boca Raton, FL; Woodbridge, NJ; Washington, DC; Chicago, IL; San Francisco, CA; Rockville, MD; Philadelphia, PA; New York, NY; Los Angeles, CA)
Employment Type: Full-time
Salary: Competitive, based on experience
Job Requisition ID: R-009202
Posted: Yesterday
End Date: April 17, 2025 (5 days left to apply)
**MEMBERS ONLY**SIGN UP NOW***.’s Initial Review Group (IRG) is seeking a Senior Principal Investigator to join their team in all **MEMBERS ONLY**SIGN UP NOW***. locations. The IRG is responsible for the intake, review, and analysis of regulatory intelligence received through various sources, with a focus on identifying and escalating high-risk matters. The Senior Principal Investigator will lead strategic efforts and collaborate with senior management to proactively respond to significant increases or changes in filings due to market events. This is a full-time position with a competitive salary and benefits package.
Key Responsibilities:
- Lead and strategize on the departmental response to and processing of regulatory matters stemming from market events
- Proactively identify emerging trends and develop strategies to address them
- Collaborate with senior management to identify and address cross-operational risk during critical volume surges
- Develop and maintain department playbooks for consistent strategic planning and processing of market events
- Research, analyze, and provide essential data points to support operational metrics and reporting
- Independently lead and execute reviews of high-risk firms and issues
- Conduct reviews and approvals of Market Event summaries and provide feedback and guidance to IRG staff
- Facilitate training for staff on market events and relevant topics
- Demonstrate specialization in critical areas such as products, firm businesses, and investigative techniques
- Participate in internal and external meetings, including representing IRG at industry conferences and meetings with other regulators
- Lead and participate in initiatives and special projects
Requirements:
- Bachelor’s degree or equivalent experience required; advanced or law degree preferred
- Experience in the securities/financial industry and knowledge of regulatory compliance
- Expert knowledge of relevant **MEMBERS ONLY**SIGN UP NOW***. rules and federal securities laws
- Strong understanding of securities markets and member firm operations
- Excellent communication and interpersonal skills
- Highly organized with attention to detail and ability to work on multiple time-sensitive matters
Skills and Knowledge Requirements:
- Advanced-to-expert knowledge of securities rules and regulations
- Advanced-to-expert knowledge of firm business models, products, and services
- Intermediate-to-advanced knowledge of **MEMBERS ONLY**SIGN UP NOW***.'s risk fundamentals
- Awareness of internal policies and protocols
Working Conditions:
- Hybrid office environment with extended hours as needed
Benefits:
- Comprehensive health, dental, and vision insurance
- Life, accidental death and dismemberment, and disability insurance
- Retirement plans with company match and additional funded contributions
- Tuition reimbursement, commuter benefits, and other wellness programs
- Generous time-off program, including paid holidays and volunteer service days
Important Information:
- **MEMBERS ONLY**SIGN UP NOW***.’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures. New employees must comply with investment restrictions by the date they begin employment.
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws.
- **MEMBERS ONLY**SIGN UP NOW***. abides by the requirements of 41 CFR ) and 41 CFR ).
How to Apply:
To be considered for this position, please submit an application through the **MEMBERS ONLY**SIGN UP NOW***. Careers website. Applications are accepted on an ongoing basis.
Search Firm Representatives:
**MEMBERS ONLY**SIGN UP NOW***. does not accept unsolicited resumes from search firms. A valid written agreement and task order must be in place before any resumes are submitted. Resumes submitted without a valid written agreement and task order will be deemed the sole property of **MEMBERS ONLY**SIGN UP NOW***..
**MEMBERS ONLY**SIGN UP NOW***. strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact **MEMBERS ONLY**SIGN UP NOW***.'s Employee Relations team.
Join the **MEMBERS ONLY**SIGN UP NOW***. team and make a difference in the securities industry!
