Principal Investigator, MI Customer Order Handling

The 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 Principal Investigator mentors and coaches more junior staff in the completion of their investigations.

Essential Job Functions:


* Conducts comprehensive investigations of possible violations of rules and federal securities laws with moderate supervision.  


* Researches and provides management with updates regarding rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases. 


* Conducts testing and participates in 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. 


* Develops actionable insights for appropriate investigative responses to emerging regulatory risks and threats. 


* Responsible for the documentation of strategies, investigative steps, and investigative results, including referrals to Enforcement and outside agencies. 


* Mentors and coaches more junior 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.

Other Responsibilities:


* Participates in special projects, surveys, committee assignments, and technology initiatives impacting the relevant team. 

Education/Experience Requirements:


* Bachelor’s degree and a minimum seven (7) 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 excellen...