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: (1) Analyze the information received and identify the regulatory issues raised to determine, among other things, whether FINRA has jurisdiction; (2) Collect and analyze additional relevant information obtained from internal and external systems to assess the risk to the investing public and the securities markets; (3) Collaborate with other internal and external stakeholders as needed to share relevant information; and (4) Make well-reasoned recommendations for the appropriate regulatory response (i.e., referral to NCP for cause exam or to another FINRA department for further investigation, referral to the appropriate regulatory agency, or close the matter with no further review).
