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Principal Investigator, Enforcement
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- The Principal Investigator performs investigative functions for all types of Enforcement cases in order to develop complete and factual investigative records.
- We are searching for a candidate with experience in one or more of the following areas: market structure, trading algorithms, retail order routing logic, Reg SHO, trading strategies, Alternative Trading Systems, Regulation NMS, Best Execution Rule ( Rule 5310), and/or Market Access Rule (Rule 15c3-5).
- Ensure that Principal Considerations affecting sanctions are fully investigated
- Communicate with other investigative units across FINRA to problem-solve and resolve conflicts in investigative approaches or inconsistent findings
- Bachelor's degree in Finance, Accounting, or related field, or the equivalent; MBA preferred.
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