Associate Principal Investigator

The Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation. The Associate Principal Investigator coaches less experienced colleagues in the completion of their investigations.

Essential Job Functions:

• Conducts comprehensive investigations of possible violations of rules and federal securities laws with direct supervision.
• Researches and provides internal updates regarding rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases.
• Completes assigned tasks for testing and developing new analytics, investigative tools or processes that detect and deter violative activity, while maintaining and enhancing investigative methods and developing improved approaches for uncovering violations.
• Responsible for evidence gathering through verbal and written correspondence, including on-the-record testimony, with registered and associat...