Associate Principal Investigator Vast

Profile

Associate Principal Investigator, VAST

Duties: Independently leads investigations of low to medium complexity matters under moderate supervision. Participates in investigations of medium to high and high complexity matters under moderate supervision. Conducts examination tasks,reviews conducted in collaboration with Member Supervision examination , reviews conducted on matters originated by specialist team, reviews conducted in relation to internal/external tips and reviews conducted related to referrals. Participates in On-The-Record interviews of relevant parties with moderate supervision, including collaboration with the Department of Enforcement. Serves as a VAST risk resource with intermediate level knowledge and provides guidance to staff. Prepares examination reports, supporting documents, and recommend appropriate disciplinary action resulting from examination activities to the team's Investigations Manager. Develops cases and determines whether exceptions merit referral to enforcement with moderate supervision. Under moderate supervision, conducts interviews, either formally or informally, of member firm personnel, member firm customers, other FINRA staff, and staff of other regulatory agencies to gather data pertinent to examinations, investigations and reviews. Presents investigative output (orally and in writing) which detail relevant findings, potential violations and recommendations for next steps to the team's Investigations Manager. Participates in providing guidance and advice with regard to high risk examinations and any other special national projects, sweeps and task forces where expertise is needed. Actively participate in and lead meetings with firms and other departments with moderate supervision. Participates in special or regulatory projects related to area(s) of expertise.

Additional Information

Job requisition ID: R-005302

Company info

FINRA.
4600 S. Syracuse Street Suite 1400
Denver
Colorado
United States 80237
Website : http://www.finra.org