Associate Principal Investigator - NCP Finance

TownTasks

Location: New York City, NY, USA

Category: Finance

Salary: 0 - 0 USD / yearly

Full-time

Job Description

Join our team as an Associate Principal Investigator in the NCP Finance department. We are looking for a skilled individual to analyze and assess regulatory intelligence to ensure compliance with FINRA rules and federal securities laws.

Responsibilities

Review triggering event information to determine jurisdiction
Gather background intelligence to assess risk and regulatory implications
Perform additional outreach for analysis of regulatory intelligence
Conduct interviews with relevant parties to gather facts
Analyze information to identify potential violations
Collaborate with internal and external stakeholders
Recommend appropriate assessment dispositions
Participate in specialized areas of review

Qualifications

Bachelor’s degree or equivalent experience
Advanced knowledge of FINRA rules and federal securities laws
Proficiency in investigative techniques
Strong written and verbal communication skills
Organizational skills with attention to detail
Proficiency in computer programs
Effective at building and managing relationships

Perks & Benefits

Employees may be eligible for a discretionary bonus, comprehensive health insurance, dental and vision insurance, 401(k) plan with company match, tuition reimbursement, commuter benefits, and more.

Why Join Us?

Join a team dedicated to regulatory compliance and protecting the investing public. Explore growth potential and enhance your skills in a dynamic work environment.