Enforcement Investigator recruitment
We Work to Protect Investors. Join our Team.
FINRA is seeking a well qualified individual for our Enforcement Investigator opening in Washington, DC. Please Note: Enforcement will be moving to Rockville, MD in March 2012.
Description
Essential 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 complex investigative work and assist more Senior Enforcement Investigators on more complex investigative work. Overall work is subject to review and correction by the Assistant Director or a more Senior Enforcement Investigator.
- Continue to expand necessary skills and knowledge through training programs (class instruction, On-The-Job Training, Investigator Training, and other designated training). Training consists of hands-on experience performing various task and reviews under the general supervision and guidance of a mentor or Assistant Director. Complete Enforcement's structured training plan and specific duties as assigned and reviewed by a mentor or Assistant Director usually within 12 months.
Qualifications
Education/ Experience:
- Bachelor's degree preferably in Accounting, Business or Finance with a minimum of six (6) hours of accounting.
- Solid performance as an Examiner/Analyst, or at least three to seven years of experience in conducting routine financial and operational audits or enforcement-oriented investigations.
- Demonstrated communications ability and computer skills (e.g. Access, Excel, Word, PowerPoint).
Working Conditions:
- The Enforcement department is a professional environment in which work of the highest quality is expected.
- Work outside of normal business hours and occasional overnight travel is required.
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.
About FINRA
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives. FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange. FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.