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Company Name:
Approximate Salary:
Not Specified
Rockville, Maryland
United States
Position type:
Full Time
Experience level:
3-5 Years
Education level:
Bachelor's Degree

Investigator, Corporate Financing


We Work to Protect Investors. Join our Team.

The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Investigator, Corporate Financing opening in Rockville, MD. To be considered for this position, please submit your resume through our career site at – no phone calls, please.

Job Summary:

Reviews member corporate financing activity for compliance with FINRA and SEC rules and other securities laws. The Investigator II conducts investigations of cases which have been identified as potential areas of concern relating to private placements and other. This is intermediate-level professional work in which incumbents are performing their assigned roles, developing job-related skills, and working under limited supervision.

Essential Job Functions:
Conducts independent investigations of potential rule violations relating to corporate financing activities, including the review of private placement filings, received as a complaint or inquiries from the public, members, district offices or other regulatory organizations. In conducting complaint or inquiry investigations, reviews materials, gathers additional facts, provides written comments, and summarizes the results into an investigative memorandum.
Provides support in disciplinary proceedings involving offerings that the Corporate Financing Department has reviewed by preparing and reviewing exhibits and functioning as witness during disciplinary hearings.
Assists in the drafting of memoranda, reports, and correspondence, including 8210 Letters and Letters of Caution, resulting from Complaint Investigations, Filing Reviews, Spot Checks, service quality conferences and staff interviews.
Assists in conducting on-site examinations of members’ corporate financing activity in conjunction with a routine or special examination.
Prepares written reports regarding the corporate financing aspect of the examination.
Responds to telephone inquiries from members, attorneys, district offices, the SEC, Exchanges, and the public.

Education/Experience Requirements:
Bachelor’s Degree. JD or MBA preferred.
3 years related industry experience or equivalent business experience; or successful completion of at least 2 years as a Corporate Financing Analyst.
Excellent oral and written communication skills. Working knowledge of finance, various types of securities and broker-dealer services and securities distributions.
Knowledge of FINRA and SEC rules governing corporate financing activity. Competence using a desktop computer with the full suite of office software applications.
Academic courses or work experience showing successful use of analytical skills is preferred.
Working Conditions:
Work is normally performed in an office environment. Occasional travel may be required. Some extended hours may be required.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

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.