The Fraud Surveillance team conducts routine reviews and
investigations of unusual market activity for evidence of potential
fraudulent activity and for possible violations of relevant FINRA
rules and the federal securities laws. The Investigator position
involves professional work in which incumbents are fulfilling their
assigned roles, applying their job skills, and working under
Essential Job Functions:
- Routinely analyzes exception reports in the area of primary
responsibility for indications of potential violative
- Compiles and organizes information from a variety of sources to
be used in the development of investigations of potential violative
activity. Through the review/investigative process the Analyst will
resolve situations that may impact the integrity of the securities
- Develops a thorough understanding and ability to implement the
investigative techniques utilized in the respective area of primary
- Develops working knowledge of relevant FINRA/SEC rules and
- Conducts telephone interviews which develop detailed material
- Gathers evidence through the submission of timely, well written
requests for information from members, Issuers, customers and other
- Fully utilizes all work flow tracking systems in a timely
- May independently conduct or assist others in field
examinations and deposing witnesses.
- Presents investigative findings (orally and in writing) to the
Market Surveillance Committee, the SEC, management, and other
constituents in an organized, concise and timely fashion.
- Provides excellent internal/external customer service.
- May assist in the training of new hires and others.
- May serve as back-up in a secondary area of responsibility on
an as-needed basis.
- Bachelor's Degree in Business, Finance, Economics or directly
substitutable FINRA/Industry experience. Advanced degree in Law or
- Working knowledge of relevant FINRA/SEC rules and
- Demonstrated ability to conduct telephone interviews and elicit
pertinent information from issuers, members and others.
- Demonstrated ability to initiate and complete quality routine
reviews/investigations in a timely fashion. Demonstrated ability to
utilize computer resources and available software.
- Demonstrated ability to effectively interface with management,
peers and others to accomplish Market Regulation mission and
- Working knowledge of securities markets, member firm
operations, books and records.
- Strong customer service ethic and willingness to satisfy needs
of internal/external customers.
May serve as back-up in a secondary area of responsibility on an
Normal office conditions. Extended hours and minimal travel may
To be considered for this position, please submit an
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
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application process, please contact FINRA's accommodation help line
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inquiries regarding application accommodations.
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
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
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
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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