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.
Compensation Range for Colorado locations
Annual Salary: $72,400.00 - $129,600.00
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.
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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.
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