FINRA / Securities Specialist Investigator III

Description

This FINRA/Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law violations and, when warranted, bringing cases forward to law enforcement or enforcement agencies for formal disciplinary actions against firms, individuals, and their associated persons. 

In this role, you will perform investigative functions for securities cases to develop complete and factual investigative records and make meaningful contributions to more complex securities matters.  You will also be challenged to work persistent Financial Crime Investigations to include but not limited to: check fraud, scams, e-crime, loan fraud or internal investigations.

We are searching for a candidate with experience in some or all of the following areas: market structure, trading algorithms, retail order routing logic, Reg SHO, trading strategies, Alternative Trading Systems, Regulation NMS, Securities Act, Securities Exchange Act, Trust Indenture Act, Investment Advisers Act, Sarbanes-Oxley Act, Dodd-Frank Wall Street Reform and Consumer Protection Act, Bank Secrecy Act, Best Execution Rule ( Rule 5310), and/or Market Access Rule (Rule 15c3-5).

Primary Job Functions: 

• Determine and execute an effective risk-based investigative strategy, identifying key documents and compiling evidence, demonstrate understanding of evidence. 
• Establish investigative plans, in collaboration with other investigators, compliance and the legal staff, and keep plan updated throughout an investigation.
• Accurately and objectively assess or identify weaknesses and ambiguities in factual findings and discuss them with Compliance and Legal teams. 
• Draft clear and complete summaries of factual findings. 
• Conduct effective interviews of potential victims, witnesses, or suspects.
• Perform accurate data analysis in accordance with well-established methodologies. 
• Communicate with other investigative units across Physical Security & Financial Crime Investigations to deconflict and problem-solve. 
• Conduct timely and accurate investigations, while meeting existing deadlines. 
• Collaborate with Compliance and Legal teams to produce a sound factual record supported by a clear legal framework in non-complex matters. 
• Provide clear and accurate written investigation reports of findings to management, compliance and legal.
• Work effectively with legal staff to ensure that written descriptions of factual findings are supported by the evidence.
• Present and discuss factual findings with Management, Compliance and Legal teams.
• File Suspicious Activity Reports or other compliance related filings.
• Provide legal staff with insight from industry experience and/or subject matter expertise to help objectively assess the sufficiency of evidence.
• Demonstrate ability to complete investigations and provide high quality work in team-based environment. 
• Work efficiently and accountably as part of a team to implement investigative plans.
• Perform work in an efficient manner by leveraging collective knowledge and work across the organization. 
• Communicate effectively with other team members about factual and legal issues for analysis.
• Promote a culture of inclusion in which the views of all team members are heard and considered, and colleagues treat one another with dignity and respect.

Experience and Skills:

• Five (5) years of relevant experience in similar investigations capacity.
• Five (5) years of broker-dealer, compliance, financial or operational audits/investigations or related experience. 
• Knowledge of rules, regulations, and guidelines governing the securities industry.
• Experience with social media, OSINT, payments, investments research
• Knowledge of FINRA/SEC investigative best practices
• Competence using a desktop computer with the full suite of office software applications.

Education and Certifications:

• Bachelor’s degree in finance or related field
• Certified Fraud Examiner certification preferred. 

Hours & Work Schedule 

Hours per Week: 40

Work Schedule: Monday – Friday.  Work outside of normal business hours and overnight travel may be required.

Pay Transparency

The salary range for this position is $70,400 - $105,600 per year, plus an opportunity to earn an annual discretionary bonus. Actual pay is based on various factors including but not limited to the work location, and relevant skills and experience. 

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more. Note, Citizens’ paid time off policy exceeds the mandatory, paid sick or paid time-away policy of very local and state jurisdiction in the United States. For an overview of our benefits, visit https://jobs.citizensbank.com/benefits.

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Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

At Citizens, we are committed to fostering an inclusive culture that enables colleagues to bring their best selves to work every day. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.