Associate Principal Investigator National Cause Programs

Profile

Associate Principal Investigator, National Cause Programs

The candidate conducts extensive background searches of the organization's member firms and registered representatives in support of open the organization's investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and external systems. Provides an advanced level of in-depth data analysis for NCP investigations with respect to conducting reviews and subsequently providing a high-level summary of their investigative findings and suggested next steps. Leads investigations of varying risk and complexity with minimal supervision. Gathers regulatory intelligence using internal and external resources and 8210 record requests. Requests, compiles, analyzes, assesses, and evaluates records. Prepares for and participates in On-The-Record interviews with minimal supervision. Conducts and facilitates interviews of relevant parties with minimal supervision. 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. Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert systems, etc.), with minimal supervision. Trains and mentors junior staff and new hires. Participates in special projects, as assigned. Should have a Bachelor's degree or equivalent relevant experience. An advanced degree or law degree is preferred. Must have substantive knowledge of relevant rules and federal securities laws. Should also have substantive knowledge of the securities markets and member firm operations and its books and records. Proficiency in using computer programs with the full suite of Office software applications is essential.

Additional Information

Job Requisition ID: R-005190

Company info

FINRA.
12 Wyandotte Plaza 120 West 12th Street , Suite 900
Kansas City
Missouri
United States 64105
Website : http://www.finra.org