Job Description:

The Surveillance Section of NCFC is responsible for detecting and investigating insider trading across all markets, fraudulent or manipulative conduct related to issuers across all markets, and fraudulent conduct related to issuers conducting Regulation Crowdfunding and Regulation A offerings. The Senior Investigator conducts reviews and investigations of unusual market activity for evidence of potential insider trading and for possible violations of relevant FINRA rules and the federal securities laws.

Essential Job Functions:

• Conducts reviews and investigations of possible violations of FINRA rules and federal securities laws with moderate supervision. 


• Demonstrates ability to handle increasingly complex and high-risk investigations.


• Demonstrates ability to handle increasingly complex and high-risk investigations.


• Demonstrates and continues to develop a functional understanding of relevant FINRA rules, federal securities laws, and markets and trading.


• Demonstrates competency in the investigative techniques utilized in the surveillance areas.


• Analyzes increasingly complex information and trading activity for indications of potential violative activity.


• Conducts interviews of registered and associated persons, investors, company management, and others, and participates in on-the-record testimony when necessary.


• Utilizes technology competently for data collection, information analysis, and case file management.


• Compiles and organizes information from a variety of sources to be used in the development of investigations.


• Identifies situations in reviews and investigations that may present significant regulatory issues or impact other FINRA business units.


• Presents accurate and increasingly comprehensive investigative findings (orally and in writing) to management and other internal or external constituents in an organized, concise, and timely fashion.


• Communicates and collaborates professionally and effectively with colleagues, management, FINRA members, and outside parties.


• Demonstrates respect, courtesy, and professionalism, embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties.


• Volunteers for and participates in activities beyond usual investigative responsibilities.

Education/Experience Requirements:

• Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.


• Functional knowledge of relevant FINRA rules and the federal securities laws.


• Functional knowledge of the securities markets and member firm operations and its books and records.


• Strong written and verbal communications skills.


• Demonstrated ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.


• Strong organizational skills with exceptional attention to detail.


• Competence using computer programs with the full suite of Office software applications.

Work Conditions:

• Office environment.


• Work outside of business hours may be required.


• Some travel may be required.

To be considered for this position, please submit an application.

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.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. 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.

Important Information

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. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

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

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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