Principal Investigator

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 FINRAs 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 FINRAs values.
• Collaboration both in-person and virtually in furtherance of FINRAs mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelors 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 FINRAs 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 addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: $112300 - $154000

San Francisco CA: $117200 - $161000

Boston MA: $112300 - $202500

Chicago IL: $107500 - $194100

Denver CO: $97700 - $176100

Jericho NY: $112300 - $202500

Jersey City NJ: $117200 - $211400

Philadelphia PA: $107500 - $194100

New York NY: $117200 - $211400

Rockville MD: $112300 - $202500

Tysons VA: $112300 - $202500

Washington DC: $112300 - $202500

Woodbridge NJ: $112300 - $202500

Connecticut State: $97700- $211400

Washington State: $97700- $211400

#LI-Hybrid

To 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 schedule

Important Information

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

Washington state applicants: click here for required notice(s).

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 Employer

All 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 FINRAs 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.

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Required Experience:

Staff IC