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Associate Principal Investigator, MRTS Reporting & Disclosure
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- cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation.
- Responsible for evidence gathering through verbal and written correspondence, including on-the-record testimony, with registered and associated persons, investors, company management, member and RSA non-member firms, and others under supervision.
- Demonstrates a culture of FINRA's values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA's culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.
- If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.
- FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRfunded retirement contribution, tuition reimbursement and many other benefits.
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