Associate Principal Investigator, Enforcement

FINRA’s Department of Enforcement (Enforcement) is tasked with investigating potential FINRA Rules and securities law violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons.

The Associate Principal Investigator performs investigative functions for non-complex securities cases in order to develop complete and factual investigative records and make meaningful contributions to more complex securities matters.

Essential Job Functions:

Develop a complete and accurate factual record with input from managers.

• Determine and execute an effective risk-based investigative strategy
• Identify key documents and compile evidence supporting a charge, demonstrating understanding of evidence, legal requirements, and potential defenses
• Contribute to the creation of investigative plans, in collaboration with other investigators and the legal staff, and keep plan updated throughout an investigation;
• Accurately and objectively assess weaknesses and ambiguities in factual findings, and discuss them with legal staff
• Plan for and participate in testimony of witnesses
• Accurately and succinctly discuss investigative findings
• Provide effective testimony in litigation
• Draft information requests that are clear, complete, and targeted;
• Draft clear and complete summaries of factual findings
• Execute effective customer interviews

Perform accurate data analysis in non-complex matters in accordance with well-established methodologies.

• Identify situations where new investigative or analytics tools and techniques could be used
• Effectively describe routine data analysis and findings,
• Communicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches
• Conduct accurate analysis

Efficiently complete investigations in non-complex matters timely.

• Independently meet deadlines
• Actively monitor investigations to ensure they are focused and targeted
• Identify and escalate matters or issues that require re-prioritization
• Participate in case discussions and meetings
• Provide work product that requires minimal change or re-direction

Collaborate with legal staff to produce a sound factual record supported by a clear legal framework in non-complex matters.

• Provide clear and accurate written factual findings to legal staff Work effectively with legal staff to ensure that written descriptions of factual findings are supported by the evidence
• Partner with legal staff to develop and execute an investigative plan to develop the record fully and effectively
• Present and discuss factual findings with legal staff
• Provide legal staff with insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence

Demonstrate ability to complete non-complex investigations and provide high quality work in team-based environment.

• Work efficiently and accountably as part of a team to implement investigative plans
• Perform work in an efficient manner by leveraging collective knowledge and work across the organization
• Communicate effectively with other team members about factual and legal issues for analysis
• Promote a culture of inclusion in which the views of all team members are heard and considered, and colleagues treat one another with dignity and respect

Education/Experience Requirements:

• Bachelor’s degree preferably in Accounting, Business or Finance. 
• Strong performance as an Examiner/Analyst, or at least three years of experience in conducting financial and operational audits or enforcement-oriented  investigations.
• Demonstrated communications ability and computer skills (e.g. Access, Excel, Word, PowerPoint).

Work Conditions:

• Work is normally performed in an office/modular environment at FINRA. Overnight travel and extended hours are frequently required. Work environment includes high productivity expectations and tight deadlines.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the 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.

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

CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,30