Principal Investigator, Specialist Team

Full-time

No

The Principal Investigator, Specialist Team position at FINRA is a highly specialized role that requires an expert level of knowledge and experience in conducting investigations of FINRA member firms and registered representatives. This position is responsible for proactively surveilling the industry and identifying fraudulent activity occurring at, by, or through FINRA member firms. The successful candidate for this role will have advanced knowledge of relevant FINRA rules and federal securities laws, as well as a deep understanding of the securities markets and member firm operations.

The Principal Investigator, Specialist Team will lead and execute high complexity investigations with minimal supervision, collaborate with various stakeholders throughout FINRA, and provide training to FINRA personnel on complex investigations. This role requires a Bachelor's degree or equivalent relevant experience, with an advanced degree or law degree preferred. The ideal candidate will also have excellent written and verbal communication skills, advanced organizational skills, and proficiency using computer programs.

Key Responsibilities:
- Conduct high complexity routine and special investigations of FINRA member firms
- Investigate potentially suspicious activities of persons associated with FINRA member firms
- Proactively surveil the industry and identify fraudulent conduct
- Collaborate with various stakeholders throughout FINRA
- Provide training to FINRA personnel on complex investigations
- Act as a liaison and subject matter expert for various stakeholders
- Lead and execute high complexity investigations with minimal supervision
- Conduct complex risk identification reviews
- Conduct consultative tasks of high complexity with minimal supervision
- Utilize internal and external resources proficiently
- Identify notable trends and participate in special projects in area of specialty
- Conduct and facilitate on the record interviews, in collaboration with Enforcement, as needed

Education/Experience Requirements:
- Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred
- Advanced knowledge of relevant FINRA rules and federal securities laws
- Demonstrated investigative experience
- Advanced knowledge of the securities markets and member firm operations
- Advanced written and verbal communication skills
- Advanced ability to initiate and complete high quality reviews and investigations
- Advanced organizational skills with exceptional attention to detail
- Advanced proficiency using computer programs with the full suite of Office software applications
- Effective at building and managing relationships

Salary Information:
- California: Minimum Salary $106,400, Maximum Salary $200,200
- Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800
- Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800
- New York, NY: Minimum Salary $111,000, Maximum Salary $200,200
- Washington State: Minimum Salary $92,500, Maximum Salary $191,800

Benefits:
- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Tuition reimbursement
- 401(k) plan with company match
- Participation in an additional FINRA-funded retirement contribution
- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military, jury duty, bereavement, voting, and election official leave
- Care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

To Apply:
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Important Information:
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator. Employees must disclose all brokerage accounts and authorize their broker-dealers to provide FINRA with duplicate statements. All accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with these restrictions by the date they begin employment with FINRA.

Additionally, employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

Search Firm Representatives:
FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. A written agreement and task order must be in place before any resumes are submitted to FINRA. Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA.

Equal Opportunity and Affirmative Action Employer:
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. FINRA abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals on the basis of disability and protected veteran status, respectively.

If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at . This process is exclusively for inquiries regarding application accommodations.

Summary:
The Principal Investigator, Specialist Team position at FINRA is a highly specialized role that requires an expert level of knowledge and experience in conducting investigations of FINRA member firms and registered representatives. This position is responsible for proactively surveilling the industry and identifying fraudulent activity occurring at, by, or through FINRA member firms. The successful candidate for this role will have advanced knowledge of relevant FINRA rules and federal securities laws, as well as a deep understanding of the securities markets and member firm operations

Not specified

Comprehensive health, dental, and vision insurance; life and disability insurance; 401(k) plan with company match; retirement contribution; tuition reimbursement; time off for health and wellness, volunteer service, military leave, jury duty, bereavement, voting and election duties, family care, and childbirth/parental leave; paid holidays; and other benefits.

Not specified

Bachelor's degree or equivalent relevant experience required; advanced degree or law degree, preferred

Submit an application on the FINRA Careers website ()

Legal