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Principal Investigator finop Ncp
Company name
FINRA.
Location
New Orleans, LA, United States
Employment Type
Full-Time
Industry
Legal
Posted on
Dec 11, 2022
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.
1100 Poydras Street Suite 850 , Energy Centre
New Orleans
Louisiana
United States 70163
Website : http://www.finra.org
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