Principal Investigator, Independent Asset Verification and Valuation Team
Company: Finra
Location: Atlanta
Posted on: May 28, 2023
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Job Description:
Execute functions in support of specialized units missions
including, but not limited to, examinations, investigations,
consultations, advisory, knowledge sharing, and quality
assurance.Essential Job Functions:Leads examinations of all levels
of risk and complexity with minimal supervisionConducts and
memorializes discovery and risk reviews of all levels of risk and
complexityConducts consultation tasks of high complexity under
general the supervisionConducts tasks related to consultations that
may include, but is not limited to inquiries received from Risk
Monitoring, Examinations, and Enforcement staffConducts tasks
related to member firm/investor education that may include, but is
not limited to (1) serving on conference panels (2) providing
training as part of seminars, boot camps, and district compliance
events.Conducts tasks related to staff training that may include,
but is not limited to district office training events, podcasts,
LMS specific training.Conducts examination tasks that may include,
but is not limited to: (1) reviews conducted in collaboration with
Member Supervision examination staff (2) reviews conducted on
matters originated by specialist unit (3) reviews conducted in
relation to internal/external tips (4) reviews conducted related to
referralsEducation/Experience Requirements:Bachelor''s Degree or an
equivalent combination of education and experience required. Major
in Accounting, Finance, Economics, Business Administration,
Cybersecurity, Computer Forensics, Data Analytics or related fields
preferred. Advanced degree/certification a termediate securities,
compliance or financial regulatory experience. Intermediate
experience related to specialization a plus.Knowledge
Requirements:Intermediate knowledge of FINRA''s nine risk
fundamentalsIntermediate knowledge of securities rules and
regulationsIntermediate knowledge of risks/products specific to
specializationSkill Requirements:Advanced written and oral
communications skillsAdvanced negotiation skills and ability to
build collaborative relationshipsAdvanced prioritizing, planning,
and organizations skillsAdvanced resiliency with ability to adapt
and thrive in uncertain and stressful conditionsCompensation Range
for Colorado locationsAnnual Salary: $84,300.00 -
$151,900.00LI-HybridTo 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 InformationFINRA''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.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 RepresentativesPlease 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 EmployerAll 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: Finra, Atlanta , Principal Investigator, Independent Asset Verification and Valuation Team, Other , Atlanta, Georgia
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