Associate Principal Investigator, MI Customer Order Handling

The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation.

The Associate Principal Investigator coaches less experienced colleagues in the completion of their investigations.

Essential Job Functions :

• Conducts comprehensive investigations of possible violations of rules and federal securities laws with direct supervision.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases.
• Completes assigned tasks for testing and developing new analytics, investigative tools or processes that detect and deter violative activity, while maintaining and enhancing investigative methods and developing improved approaches for uncovering violations.
• Responsible for evidence gathering through verbal and written correspondence, including on-the-record testimony, with registered and associated persons, investors, company management, member and RSA non-member firms, and others under supervision.
• Raises issues that may require an investigative response to emerging regulatory risks and threats.
• Responsible for documentation of strategies, investigative steps, and investigate results, including referrals to Enforcement and outside agencies.
• Coaches less experienced colleagues in techniques, processes and responsibilities.
• Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.

Education & Experience Requirements :

Bachelor’s degree and a minimum four (4) years of experience in the securities / financial services industry required with knowledge of regulatory compliance;

or an equivalent combination of education and experience.

• Clear and convincing demonstration that investigative, organizational and decision-making capabilities are highly proficient.
• Demonstrated ability to independently initiate, strategize and complete complex investigations.
• Demonstrated ability to work closely with management to develop policies and goals that maximize the resources of Market Regulation.
• Demonstrated ability to accomplish specific Market Investigations mission and goals through excellent performance on special departmental projects.
• Demonstrated ability to anticipate and serve internal / external customer needs. Demonstrated excellent communication skills.

Working Conditions :

• This is a hybrid position, with office attendance expected as deemed necessary.
• Some travel may be required.

For work that is performed in CA, Washington, DC, CO, HI, MN, VT, New York, NY, WA and MD the chart below outlines the proposed salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons .

California : Minimum Salary $91,500, Maximum Salary $170,900

Washington, DC / Maryland : Minimum Salary $91,500, Maximum Salary $163,700

Colorado / Hawaii / Minnesota / Vermont : Minimum Salary $79,500, Maximum Salary $142,300

New York, NY : Minimum Salary $95,400, Maximum Salary $170,900

Washington State : Minimum Salary $79,500, Maximum Salary $163,700

LI-Hybrid