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Investigator, Fraud - Any FINRA Location

Company: Financial Industry Regulatory Authority, Inc.
Location: New York
Posted on: June 12, 2021

Job Description:

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 management supervision.

Essential Job Functions:

  • Routinely analyzes exception reports in the area of primary responsibility for indications of potential violative activity.
  • 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 markets.
  • Develops a thorough understanding and ability to implement the investigative techniques utilized in the respective area of primary responsibility.
  • Develops working knowledge of relevant FINRA/SEC rules and regulations.
  • Conducts telephone interviews which develop detailed material information.
  • Gathers evidence through the submission of timely, well written requests for information from members, Issuers, customers and other constituents.
  • Fully utilizes all work flow tracking systems in a timely manner.
  • 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 Business preferred.
  • Working knowledge of relevant FINRA/SEC rules and regulations.
  • 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 goals.
  • Working knowledge of securities markets, member firm operations, books and records.
  • Strong customer service ethic and willingness to satisfy needs of internal/external customers.

Other Responsibilities

May serve as back-up in a secondary area of responsibility on an as-needed basis.

Work Conditions

Normal office conditions. Extended hours and minimal 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 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.

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.

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., New York , Investigator, Fraud - Any FINRA Location, Other , New York, New York

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