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Principal Investigator, FINOP - NCP
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Full-time
- FINRA’s National Cause Program (NCP) is charged with the investigation of cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources.
- Essential Job Functions:Utilizes advanced knowledge of Financial Responsibility Rules (e.g.: SEA Rules 15c3-1, 15c3-3, 17a-3 and 17a-4) and credit risk (e.g. FINRA Rule 4210, Regulation T and Portfolio Margin).
- Identifies and memorializes the facts and evidence needed to support recommended dispositions, and collaborates with Enforcement to develop cases, as neededIndependently analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.)
- and systems (order management systems, supervisory alert systems, etc.)
- Trains and mentors junior staff and new hiresParticipates in special projects, as assignedIndependently analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.)
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