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FINRA is seeking a well-qualified individual for our Investigator II, Corporate Financing opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at - no phone calls, please.

Job Summary:

Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The Investigator II conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision.

Essential Job Functions:

* Conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a complaint or inquiries from the public, members, district offices or other regulatory organizations. In conducting complaint or inquiry investigations, reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigative memorandum.

* Provides support in disciplinary proceedings involving offerings that the Corporate Financing Department has reviewed by preparing and reviewing exhibits and functioning as witness during disciplinary hearings.

* Assists in the drafting of memoranda, reports, and correspondence, including 8210 Letters and Letters of Caution, resulting from Complaint Investigations, Filing Reviews, Spot Checks, service quality conferences and staff interviews.

* Assists in conducting on-site examinations of members' corporate financing activity in conjunction with a routine or special examination.

* Prepares written reports regarding the corporate financing aspect of the examination.

* Responds to telephone inquiries from members, attorneys, district offices, the SEC, Exchanges, and the public.

Other Responsibilities:

* Performs special assignments at the request of the department management.

* Helps to prepare and present materials for member conferences and training.

* Keeps up-to-date on changes in rules and regulations that affect distribution activities of member firms.

* Maintains investigation data files.

Education/Experience Requirements:

* Bachelor's Degree plus 3 years related industry experience or equivalent business experience; or successful completion of at least 2 years as a Corporate Financing Analyst. JD or MBA preferred.

* Excellent oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and securities distributions.

* Knowledge of FINRA and SEC rules governing corporate financing activity.

* Competence using a desktop computer with the full suite of office software applications.

* Academic courses or work experience showing successful use of analytical skills is preferred.

Working Conditions:

• Work is normally performed in an office environment, with extended hours when necessary. Occasional travel may be required

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

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.

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.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, 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.

Please note: 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. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets.

Find out more about us and how we work-and view our current openings-at .

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

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