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Associate Principal Investigator, Market Investigations - Market Abuse
$79,500 - $170,900/Yr
FINRA - Rockville, MD
posted 2 months ago
Full-time - Mid Level
Hybrid - Rockville, MD
Executive, Legislative, and Other General Government Support
About the position
The Associate Principal Investigator conducts comprehensive investigations into potential violations of securities laws and regulations under FINRA jurisdiction. This role involves coaching less experienced colleagues and ensuring thorough documentation and evidence gathering during investigations. The position emphasizes collaboration, innovation, and adherence to FINRA's values, while also addressing emerging regulatory risks.
Responsibilities
- Conduct comprehensive investigations of possible violations of rules and federal securities laws with direct supervision.
- Research and provide internal updates regarding rules, regulations, guidelines, intelligence, advisories, and material regulatory cases.
- Complete assigned tasks for testing and developing new analytics and investigative tools.
- Gather evidence through correspondence and testimony with various stakeholders under supervision.
- Raise issues that may require an investigative response to emerging regulatory risks.
- Document strategies, investigative steps, and results, including referrals to Enforcement and outside agencies.
- Coach less experienced colleagues in investigative techniques and processes.
Requirements
- Bachelor's degree in a relevant field.
- Minimum of four years of experience in the securities/financial services industry.
- Knowledge of regulatory compliance in the financial sector.
- Demonstrated investigative, organizational, and decision-making capabilities.
- Ability to independently initiate and complete complex investigations.
- Excellent communication skills.
Nice-to-haves
- Experience in coaching or mentoring colleagues.
- Familiarity with advanced investigative tools and analytics.
Benefits
- Paid jury duty
- Commuter assistance
- AD&D insurance
- Paid holidays
- Disability insurance
- Dental insurance
- Tuition reimbursement
- Military leave
- Paid time off
- Adoption assistance
- Paid military leave
- Parental leave
- Vision insurance
- 401(k) matching
- Bereavement leave
