Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Principal Investigator

Financial Industry Regulatory Authority , Inc.

The Principal Investigator is an advanced professional responsible for independently conducting and completing investigations of high risk and complexity across assigned misconduct areas. This role exercises strong independent judgment in developing and executing investigative strategies, identifying regulatory risks, and producing comprehensive, well-documented investigative findings that support sound regulatory outcomes. Working under limited supervision, the Principal Investigator handles matters involving complex fact patterns, a variety of rules and products, multiple respondents, and elevated regulatory risk. This position contributes meaningfully as a knowledge resource within the team, sharing expertise with peers and less experienced staff, and proactively identifying trends and risks within area(s) of expertise. The Principal Investigator collaborates effectively with Enforcement, Risk and Intelligence, Examinations, and other Regulatory Operations (RegOps) partners to advance FINRA's mission of investor protection and market integrity.Essential Job Functions:Lead and Conduct Complex Investigations — Independently lead and conduct investigations of high risk and complexity, including matters involving complex fact patterns, multiple respondents, and a range of products and strategies; develop and execute effective, risk-based investigative strategies under limited supervision.Develop Complete & Accurate Factual Records — Gather evidence through document review, data analysis, written correspondence, and verbal communication including on-the-record testimony; ensure investigative findings are thorough, factually accurate, and clearly documented.Perform Advanced Data Analysis — Conduct advanced data analysis in accordance with well-established methodologies; identify and resolve questions about analytical approaches; effectively describe analysis, findings, and any exceptions or assumptions.Collaborate with Enforcement & Cross-Functional Partners — Partner with Enforcement attorneys to develop factual records within clear legal frameworks and ensure that evidence supports potential charges and sanctions; apply industry knowledge and expertise to assess the sufficiency of evidence.Document & Communicate Findings — Prepare clear, complete, and persuasive written summaries, investigative reports, referrals to Enforcement and external agencies, and recommendations; communicate effectively in meetings with FINRA staff, respondents, regulators, and other stakeholders; provide testimony in litigation when required.Identify & Escalate Emerging Risks and Threats — Proactively identify notable and emerging trends, threats, novel issues, and regulatory risks; escalate matters requiring reprioritization and recommend solutions; stay current on rule changes, interpretations, and industry developments within area(s) of expertise.Serve as a Knowledge Resource — Provide guidance and consultation to fellow investigators and FINRA staff on matters within area(s) of expertise; assist in identifying and resolving inconsistencies in investigative approaches.Mentor and Support Staff — Mentor and support less experienced investigators in investigative techniques, processes, and responsibilities; review work product and provide constructive feedback as directed by management.Contribute to Initiatives — Participate in and, as directed, lead special projects, regulatory initiatives, thematic reviews, and development of new analytics, investigative tools, or processes; contribute to program strategy and continuous improvement.Represent FINRA Professionally — Engage professionally with member firms, external regulators, and industry stakeholders; participate in member firm/investor education activities including compliance events; represent FINRA at internal and external meetings as directed.Demonstrate FINRA's values.Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.Education/Experience Requirements:Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience. Advanced degree (MBA, JD) or professional certification (e.g., CFE, ACAMS, CPA) preferred.Minimum of seven (7)years of progressive experience in the securities, financial services, or financial regulatory industry, with substantive knowledge of regulatory compliance.Demonstrated experience conducting enforcement-oriented, regulatory, or financial investigations of varying complexity.Experience contributing to team projects, training, or initiatives in an investigative, examination, or enforcement environment.Familiarity with investigative technologies, data analysis tools, and data strategies.FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.Knowledge Requirements:Advanced knowledge of relevant FINRA rules, applicable SRO rules, the Securities Exchange Act of 1934, and federal securities laws, with responsibility for staying current on regulatory rules, practices, and developments.Advanced knowledge of securities markets, member firm operations, books and records, firm business models, products, and services relative to area(s) of misconduct.Advanced knowledge of risks, products, and emerging threats specific to area(s) of misconduct.Strong understanding of regulatory compliance issues and risks associated with firm business lines and customer bases.Awareness of industry events, emerging trends, and regulatory developments pertinent to area(s) of misconduct.Familiarity with FINRA's organizational structure, departmental mandates, and internal applications and associated data.Skills Requirements:Investigative Judgment: Advanced ability to independently assess investigative strategy, develop risk-based approaches, interpret complex data and evidence, make sound decisions, and progress complex investigations to resolution under limited supervision.Communication: Advanced written and verbal communication skills, including strong interpersonal and stakeholder engagement abilities; demonstrated ability to accurately and succinctly discuss cases or issues with internal and external parties; ability to provide testimony in litigation when required.Analytical Capability: Advanced ability to conduct data analysis, identify patterns and anomalies, and apply analytical findings to investigative strategies; experience with analytical platforms, tools, and data-driven decision-making preferred.Collaboration: Advanced ability to liaise effectively with internal and external stakeholders; contribute to and build productive working relationships across RegOps and the broader organization.Prioritization & Organization: Strong organizational skills with high attention to detail; ability to manage multiple time-sensitive matters simultaneously, establish and meet timelines, and balance independent work with team coordination.Risk Identification: Advanced ability to identify, prioritize, and escalate risk; recognize priority matters and proactively identify emerging trends, threats, and regulatory issues.Mentorship & Guidance: Demonstrated ability to guide and mentor less experienced staff; contribute to training activities and staff development.Initiative & Adaptability: Demonstrated ability to work independently with limited supervision; proactively identify needs and opportunities; adapt effectively in uncertain and fast-paced conditions.Working Conditions:Hybrid work environment with defined in-person presence requirements.Extended hours and some travel may be required.For work that is performed in Los Angeles and San Francisco, CA, CO, CT, IL, PA, MA, MD, VA, WA, DC, NY, NJ, WA please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and market considerations.Los Angeles, CA: $112,300 - $154,000San Francisco, CA: $117,200 - $161,000Boston, MA: $112,300 - $202,500Chicago, IL: $107,500 - $194,100Denver, CO: $97,700 - $176,100Jericho, NY: $112,300 - $202,500Jersey City, NJ: $117,200 - $211,400Philadelphia, PA: $107,500 - $194,100New York, NY: $117,200 - $211,400Rockville, MD: $112,300 - $202,500Tysons, VA: $112,300 - $202,500Washington, DC: $112,300 - $202,500Woodbridge, NJ: $112,300 - $202,500Connecticut State: $97,700- $211,400Washington State: $97,700- $211,400#LI-HybridTo be considered for this position, please submit an application. Applications are accepted on an ongoing basis.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.Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.Time Off and Paid Leave*FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program starting at 15 days of paid time off (increasing with years of service, up to 25 days), 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.*Based on full-time scheduleImportant InformationFINRA’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.Washington state applicants: click here for required notice(s).Search Firm RepresentativesPlease 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 EmployerAll qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s Employee Relations team at or by email at Please note that this process is exclusively for inquiries regarding accommodations in the application process.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.2026 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.SummaryLocation: Woodbridge, NJ (Job Posting); Jericho, NY (Job Posting); Denver, CO (Job Posting); Chicago, IL (Job Posting); Boston, MA (Job Posting); Boca Raton, FL (Job Posting); Plano, TX (Job Posting); Tysons, VA (Job Posting); Jersey City, NJ (Job Posting); Washington, DC (Job Posting); Rockville, MD (Job Posting); Philadelphia, PA (Job Posting); New York, NY (Job Posting); Los Angeles, CA (Job Posting)Type: Full time

Vacancy posted 14 hours ago
Similar jobs that could be interesting for youBased on the Principal Investigator in Denver, CO vacancy
  • The Senior Principal Investigator is an expert-level professional responsible for independently leading and completing FINRA's highest-risk and most complex investigations across assigned misconduct areas. This role exercises expert judgment in developing and executing... 
    Principal
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Denver, CO
    2 days ago
  • The Principal Investigator is an advanced professional responsible for independently conducting and completing investigations of high risk and complexity across assigned misconduct areas. This role exercises strong independent judgment in developing and executing investigative... 
    Principal
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    Financial Industry Regulatory Authority

    Denver, CO
    2 days ago
  • The Principal Investigator independently conducts complex, high-risk investigations, developing strategies, identifying regulatory risks, and producing well-documented findings under limited supervision. This role serves as a team knowledge resource, mentors less experienced... 
    Principal
    Full time
    Temporary work
    For contractors
    For subcontractor
    Local area
    Immediate start

    FINRA

    Denver, CO
    22 hours ago
  • $108.4k - $227.5k

    Job Title: Data Scientist / Principal InvestigatorJob Category: ScienceTime Type: Full timeMinimum Clearance Required to Start: NoneEmployee...  ...-level Data Scientist/Researcher to serve as a Principal Investigator and Technical Leader in our Denver, CO AI/ML Research and... 
    Principal
    Contract work
    Work experience placement
    Relocation
    Flexible hours

    CACI International

    Denver, CO
    2 days ago
  • $46.99k - $112.2k

     ...Dental Fraud Investigator We're building a world of health around every individual — shaping a more connected, convenient and compassionate health experience. At CVS Health®, you'll be surrounded by passionate colleagues who care deeply, innovate with purpose, hold... 
    Suggested
    Hourly pay
    Full time
    Temporary work
    Local area

    Oak St. Health

    Denver, CO
    3 days ago
  • $25.35 - $38 per hour

     ...Background Investigator - TSXcelerate Solutions is seeking a Full Time Background Investigator, you will support a large national background investigations (BI) program that provides investigative products and services to departments and agencies of the federal government... 
    Hourly pay
    Full time
    Remote work

    Xcelerate Solutions

    Denver, CO
    2 days ago
  •  ...Compliance Investigator Hybrid Hybrid schedule: Required to be in-office on Tuesdays and Wednesdays during core hours (8:00 AM - 5:00 PM), with additional in-office days as needed for meetings, training, and events. Denver,... 
    Work at office

    Veracity

    Denver, CO
    5 days ago
  • $46.7k - $60.7k

     ...Industry Operations Investigator This position is an entry-level Industry Operations Investigator responsible for conducting investigations and inspections that require knowledge of industry operations and records, as well as the laws and investigations covering the... 
    Permanent employment
    Full time
    Temporary work
    Work at office
    Remote work
    Relocation
    Trial period

    Phenom People

    Denver, CO
    3 days ago
  • DescriptionSobre nosotros Worley es una empresa global de expertos en energía, químicos y recursos naturales, con sede en Australia. Trabajamos en asociación con nuestros clientes para desarrollar proyectos y generar valor a lo largo del ciclo de vida de sus activos. Nos...
    Principal

    Worley

    Denver, CO
    9 hours ago
  •  ...ABOUT US: Ethos Risk Services is a leading insurance claims investigation and medical management company, specializing in surveillance and fraud detection. At the forefront of, we provide accurate data and actionable insights that translate into better decision... 
    Full time
    Local area
    Night shift
    Weekend work

    Ethos Risk Services

    Denver, CO
    1 day ago
  • $24.76 - $30.94 per hour

     ...and surveillance activities to identify indicators for internal or external theft, and fraud •Conduct external and internal investigations, documenting all loss prevention incidents properly •Prepare and complete reports relative to all theft incidents, merchandise... 
    Full time
    Seasonal work
    Remote work

    Saks Fifth Avenue

    Denver, CO
    1 day ago
  • $62.7k

     ...includes development and delivery of training and filing of Fraud Plans and Reports. The incumbent is responsible for conducting investigations of organizational or functional activities related to alleged fraud, waste and abuse perpetrated by providers, members,... 
    Contract work
    For contractors
    Work at office
    Local area

    Highmark Health

    Denver, CO
    1 day ago
  • $78k - $119k

     ...Employee) Relations team for assigned segments of DaVita's business, providing subject matter expertise in teammate relations and investigations. This position is responsible for working directly on teammate issues to resolve matters of significance on behalf of... 
    Minimum wage
    Work at office

    DAVITA MED-CENTER AT HOME

    Denver, CO
    5 days ago
  • $25 - $30 per hour

     ...Overview Investigator - Network Services Denver, CO area Immediate need for an undercover investigator within the worldwide investigative solutions company. If you are an adventurous, adaptable, and organized professional who thrives in a fast-paced, mobile... 
    Hourly pay
    Full time
    H1b
    H2b
    Local area
    Immediate start
    Worldwide
    Flexible hours
    Night shift

    CoventBridge Group

    Denver, CO
    2 days ago
  • $22.1 - $26 per hour

     ...so are the rewards. Our mission is to safeguard the company’s assets and our customer’s accounts by relentlessly detecting and investigating fraudulent activities, ensuring the integrity and security of our Bank product. We champion the prevention and detection of fraud... 
    Hourly pay
    Work at office
    Flexible hours
    Shift work
    3 days per week

    Robinhood Financial

    Denver, CO
    4 days ago
  • RTX is seeking a Senior Principal Systems Engineer - EW Pillar Lead in Aurora, CO. The role focuses on leading teams, engaging customers, and developing robust satellite communications architectures for complex, contested environments. You will model and assess space-ground... 
    Principal

    Global HR, Inc.

    Aurora, CO
    1 day ago
  •  ...Fraud Investigator - Customer ProtectionDenver, CO; Lake Mary, FLAbout the Team + RoleWe are building an elite team, applying frontier technologies to the world's biggest financial problems. We're looking for bold thinkers. Sharp problem-solvers. Builders who are wired... 
    Work at office
    Monday to Friday
    3 days per week

    Robinhood

    Denver, CO
    1 day ago
  •  ...Fraud Investigator The purpose of the position is to enhance and protect the Department's vision, mission, and values by detecting and investigating allegations of fraud. The position is responsible for: Acting as the sole lead and owner for all fraud services... 
    Contract work
    Work at office

    Morgan Community College

    Denver, CO
    2 days ago
  • $200k - $300k

     ...HIRING: Senior & Principal Applied AI Engineers (Agentic Workflows / Autonomous Systems) RECRUITER OVERVIEW: Hey, I'm Will — Rumor has it I'm Colorado's #1 Most Connected, Respected & Bald-est #DevRecruiter™. As an agency software engineering recruiter, my team and... 
    Principal
    Immediate start
    Shift work

    High Country Search Group

    Denver, CO
    1 day ago
  •  ...Principal Control Systems Engineer Denver, CO (Centennial) | Hybrid I’m currently recruiting for a leading global engineering consulting firm supporting major energy, industrial, infrastructure, and government projects. The Role Lead complex control systems... 
    Principal
    Full time

    JCW Group

    Centennial, CO
    4 days ago
  • $145.99k - $228.35k

    What We're Looking ForLead the Future of Aviation Passenger ExperienceHNTB is seeking a visionary design leader to help define the next generation of aviation environments and elevate the role of design across our national aviation practice. We are looking for an influential...
    Principal
    Full time
    For contractors

    HNTB Companies

    Denver, CO
    2 days ago
  • RTX is seeking a Sr Principal Systems Engineer - Mission Management for the Aurora, CO campus. The role emphasizes MBSE, requirements breakdown, architecture and design elaboration, and strong customer-facing technical leadership. Onsite position supporting mission management... 
    Principal
    Relocation

    RTX

    Aurora, CO
    3 days ago
  •  ...gender, sexual orientation, age, marital status, veteran status, or disability status.Job DescriptionJob Description: As a healthcare principal consultant, you will be performing, assigning and managing a day-to-day client relationship.You are accountable for business... 
    Principal

    Roljobs Technology Services

    Denver, CO
    1 day ago
  •  ..., CO seeks a Research and Grants Specialist (OPEN RANK) in Medicine/Pulmonary Sciences and Critical Care Medicine. This senior to principal role oversees post-award grant management, inventory, procurement and lab support, with a hybrid on-campus schedule two to three days... 
    Principal
    2 days per week
    3 days per week

    CU Denver

    Aurora, CO
    2 days ago
  •  ...seeks two Research and Grants Specialists (Open Rank, Senior or Principal) to oversee grant management for diverse, multi-site projects. The role involves heavy reporting, collaboration with investigators, and transition of projects from pre- to post-award. This hybrid... 
    Principal
    3 days per week

    CU Denver

    Aurora, CO
    4 days ago
  • $23 - $27 per hour

     ...Job Description Job Description Advantage Surveillance is the Nation’s only insurance defense investigation firm that invests in the operational capabilities necessary to produce consistent, high-quality results—ultimately helping our clients "See What’s True."Our... 
    Daily paid
    Night shift
    Weekend work

    Advantage Surveillance LLC

    Denver, CO
    3 days ago
  • $20 - $24 per hour

     ...Job Description Overview Company Overview: Advance Your Career in Insurance Claims with Allied Universal® Compliance and Investigation Services. Allied Universal® Compliance and Investigation Services is the premier destination for a career in insurance claim investigation... 
    Work experience placement
    Work at office
    Local area

    Allied Universal® Compliance and Investigations

    Denver, CO
    9 days ago
  • $135k - $275k

     ...people. Our team is our competitive advantage and we are better together.YOUR MISSIONTrue Anomaly is looking for you, a senior to principal-level technical leader, to architect spacecraft-wide harness solutions that span multiple programs, teams, and vehicle configurations... 
    Principal
    Permanent employment

    True Anomaly

    Denver, CO
    1 day ago
  • $80k - $115k

     ...Senior Distribution Compliance Principal Company Overview: Paralel Technologies is a FinTech firm redefining the relationship between asset managers and their back office. We are the future of the back office, using next-generation technology and old school relationship... 
    Principal
    Full time
    Flexible hours

    Paralel Technologies

    Denver, CO
    3 days ago
  • $85.94k - $94.56k

     ...being the centerpiece of the nation’s sports culture through abuse prevention, education, and accountability. Position Summary The Investigator 2 is responsible for conducting full-scale administrative investigations of allegations of misconduct within the Olympic/... 
    Full time
    Temporary work
    Work at office
    Local area
    Remote work
    Flexible hours
    Night shift

    U.S. Center for SafeSport

    Denver, CO
    1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Principal Investigator. Be the first to apply!