Investigator, ORSA - Any FINRA Location
Company: Financial Industry Regulatory Authority, Inc.
Location: Jersey City
Posted on: June 2, 2021
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Job Description:
The Investigator conducts routine reviews and investigations of
unusual market activity for evidence of potential insider trading
in options and for possible violations of relevant FINRA rules and
the federal securities laws. The position involves professional
work in which incumbents are fulfilling their assigned roles,
applying their job skills, and working under management
supervision. Essential Job Functions:: * Analyze trading activity in options for indications of
potential insider trading. * Conduct routine reviews and
investigations of possible violations of FINRA rules and the
federal securities laws. * Conduct telephone interviews, including
on-the-record testimony when necessary, of registered and
associated persons, investors and others to develop a sufficient
investigative record. * Gather evidence through timely,
well-written requests for information from FINRA members and other
constituents. * Compile and organize information from a variety of
sources to be used in the development of investigations of
potentially fraudulent activity. * Identify situations in reviews
and investigations that may impact the integrity of the U.S.
options markets. * Demonstrate an understanding of the
investigative techniques utilized in the area of insider trading
surveillance as well as the relevant FINRA rules and federal
securities laws. * Present investigative findings (orally and in
writing) to management and other constituents in an organized,
concise and timely fashion. * Utilize computer resources and
software applications for data and information analysis pursuant to
department procedures. * Interface with FINRA members, peers,
management and outside parties, and provide excellent internal and
external customer service in specialized area of regulatory
responsibility. Education/Experience Requirements: * Bachelor's degree from an accredited college or university;
law degree or advanced business degree preferred. * A minimum of
one year of relevant experience. * Knowledge of relevant FINRA
rules and the federal securities laws. * Knowledge of the
securities markets, options, and member firm operations and books
and records. * Strong written and verbal communications skills,
including an ability to gather evidence through the use of
telephone interviews and on-the-record testimony. * Ability to
initiate and complete high quality reviews and investigations,
including an ability to work quickly on multiple time-sensitive
matters. * Strong organizational skills with exceptional attention
to detail. * Competence using computer programs with the full suite
of office software applications. Work Conditions: * Office environment. * Work outside of business hours may be
required. * Some travel may be required. To be considered for this position, please submit an
application. 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. Please note: If the "Apply Now" button on a job board posting
does not take you directly to the FINRA Careers site, enter
www.finra.org/careers into your browser to reach our site
directly. FINRA strives to make our career site accessible to all users.
If you need a disability-related accommodation for completing the
application process, please contact FINRA's accommodation help line
at 240.386.4865. Please note that this number is exclusively for
inquiries regarding application accommodations. 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. Important Information 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. 2020 FINRA. All rights reserved. FINRA is a registered trademark
of the Financial Industry Regulatory Authority, Inc.
Keywords: Financial Industry Regulatory Authority, Inc., Jersey City , Investigator, ORSA - Any FINRA Location, Other , Jersey City, New Jersey
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