The Enforcement Investigator Specialist plans more complex fraud investigations. This is an experienced-level professional position focused on continuing to expand skills and working under minimal guidance and supervision while mentoring and training junior level Enforcement Investigators.
Essential Job Functions:
- Plan complex investigations with limited supervision and guidance, including a determination of the books, records and documents requiring examination.
- Identify and prepare potential witnesses for interrogations conducted both on and off-the-record.
- Carry out planned investigations by way of field examinations, written inquiries, and data analysis.
- Provide support in FINRA disciplinary proceedings, including the preparation of staff hearings exhibits, and reviewing and analyzing respondent hearing exhibits.
- Complete investigations by consolidating the various factual details of an investigation into a final investigative report.
- Collect, reconcile, and analyze information including broker-dealer documents, trading and financial information. In addition to bluesheeting, this typically involves doing one or more on-site exams.
- Conduct more complex investigative work and mentor junior Enforcement Investigators with investigative work.
- Overall work is subject to review and correction by the Director, Case Manager or a more Senior Enforcement Investigator.
- Continue to expand necessary skills and knowledge through specific training determined by the Director or Case Manager and by working on special project assignments.
- Bachelor’s degree preferably in Accounting, Business or Finance with a minimum of six (6) hours of accounting.
- Strong performance as an Examiner/Analyst, or at least five 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 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.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA is an Equal Opportunity and Affirmative Action Employer
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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