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FINRA is seeking a well-qualified individual for our Enforcement Investigator opening in New York, NY. To be considered for this position, please submit your resume through our career site at - no phone calls, please.

Job Summary:
The Enforcement Investigator will plan for and participate in complex investigations of potential violations of FINRA rules and federal securities laws, as part of the Regional Enforcement Program.

Essential Job Functions:

• Plan for and conduct investigations through gathering information and documents from broker-dealers, clearing firms, investors and other sources.
• Independently draft investigative memoranda, requests for information, and correspondence.
• Collect, reconcile, and analyze large volumes of information including trading and financial data.
• Develop and consolidate various factual details of an investigation into a final investigative report in support of enforcement actions.
• Conduct or participate in interviews of investors, member firm personnel and others in development of potential enforcement actions.
• Prepare for and conduct on-the-record testimony of potential respondents and other witnesses.
• Provide support in FINRA disciplinary proceedings, including the preparation of summary exhibits, reviewing and analyzing respondent hearing exhibits; and sometimes provide testimony at hearings.
• Attend applicable Department and corporate training classes.

Education/Experience Requirements:

• Bachelor's degree with training or experience in accounting, business or finance.
• Solid performance as an Examiner, or at least three to five years of experience in conducting broker-dealer examinations, or enforcement-oriented investigations.
• Excellent written and oral communications ability.
• Demonstrated ability to work under tight deadlines and manage multiple matters.
• Proficiency in MS office and ability to create and manage large databases of information.

Working Conditions:

• Work is normally performed in an office environment, with extended hours when necessary and occasional overnight travel required.

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

©2013 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.




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