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Job Details

Principal Investigator finop Ncp

Company name
FINRA.

Location
Dallas, TX, United States

Employment Type
Full-Time

Industry
Legal

Posted on
Dec 11, 2022

Apply for this job






Profile

Principal Investigator (FINOP), NCP

Duties: The candidate will independently leads investigations of varying risk and complexity. Gathers regulatory intelligence using internal systems and 8210 record requests. Requests and compiles, analyzes, assesses, and evaluates records. Prepares for and participates in On-The-Record interviews .Independently conducts and facilitates interviews of relevant parties. Identifies exceptions, observations, and other findings and proactively escalates potential formal issues to management. Identifies and memorializes the facts and evidence needed to support recommended dispositions, and collaborates with Enforcement to develop cases, as needed. Independently analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.). Assists in identifying notable and emerging trends related to Firm Groupings/Sub-Groupings or initiatives and escalates to management. Trains and mentors junior staff and new hires. Participates in special projects, as assigned. Independently analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.).

Additional Information

Job requisition ID: R-005415

Company info

FINRA.
12801 North Central Expressway Suite 1050
Dallas
Texas
United States 75243
Website : http://www.finra.org

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