Associate Principal Investigator, NCP - IRG - All FINRA Locations
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About The Position
FINRA's Initial Review Group (IRG) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators, with an eye toward quickly identifying and escalating higher-risk matters. The Principal Investigator, IRG, will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant FINRA rules, federal securities laws, and markets and trading. Upon receipt of a triggering event (tip, complaint, firm filing, etc.), IRG investigators analyze the information received and identify the regulatory issues raised to determine, among other things, whether FINRA has jurisdiction; collect and analyze additional relevant information obtained from internal and external systems to assess the risk to the investing public and the securities markets; collaborate with other internal and external stakeholders as needed to share relevant information; and make well-reasoned recommendations for the appropriate regulatory response.
