Overview

The Senior Investigator conducts reviews and investigations of unusual market activity for evidence of potential insider trading 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 moderate management supervision.

Essential Job Functions:

  • Analyze trading activity for indications of potential insider trading.
  • Conduct 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. securities 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.
  • Work cooperatively with OFDMI management to develop, organize and deliver training and staff development programs, as necessary.
  • Mentor, train, and provide guidance to newly hired or less-experienced staff, as necessary.
  • Assist management in identifying emerging regulatory issues and trends that warrant FINRA action.

Education/Experience Requirements:

  • Bachelor¬Ěs degree from an accredited college or university; law degree or advanced business degree preferred.
  • A minimum of three years of relevant experience.
  • Substantive knowledge of relevant FINRA rules and the federal securities laws.
  • Substantive knowledge of the securities markets 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.
  • Demonstrated 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.

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