Public Interest
Boston, MA
Attorney in Boston, MA
Non-practicing Attorney
No
Job Title: Principal Investigator, Specialist Team - All FINRA Locations
Job Responsibilities:
The Principal Investigator in the Specialist Team is responsible for conducting high-complexity routine and special investigations of FINRA member firms. This role involves investigating potentially suspicious activities of individuals associated with FINRA member firms and providing guidance to Member Supervision staff on complex assignments. The Principal Investigator is tasked with proactively surveilling the industry to identify fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. This expert-level position requires an expanded skillset, limited guidance, minimal supervision, and the ability to lead and train others. Key responsibilities include:
- Demonstrating a highly proficient level of competence in identifying risks, developing regulatory strategies, and executing examination strategies to address these risks.
- Collaborating with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys as necessary.
- Comprehensively documenting strategies, written requests to representatives and firms, investigative steps, and investigation results, including referrals to Enforcement and outside agencies.
- Acting as a liaison and subject matter expert for various stakeholders throughout FINRA, executing these responsibilities with minimal supervision.
- Leading the execution of high-complexity investigations with limited guidance and minimal supervision.
- Conducting complex risk identification reviews.
- Performing consultative tasks of high complexity with minimal supervision.
- Proficiently utilizing internal and external resources.
- Proactively identifying notable trends and participating in special projects in the area of specialty.
- Providing training to FINRA personnel on complex investigations.
- Conducting and facilitating on-the-record interviews in collaboration with Enforcement as needed.
Education and Experience Information:
- A Bachelor’s degree or equivalent relevant experience is required; an advanced degree or law degree is preferred.
- Advanced knowledge of relevant FINRA rules, federal securities laws, and demonstrated investigative experience.
- Advanced knowledge of securities markets, member firm operations, and their books and records.
- Advanced written and verbal communication skills.
- Advanced ability to initiate and complete high-quality reviews and investigations, including the ability to work quickly on multiple time-sensitive matters.
- Advanced organizational skills with exceptional attention to detail.
- Advanced proficiency in using computer programs with the full suite of Office software applications.
- Effective at building and managing relationships.
Salary Information:
Salary ranges vary by location and are influenced by factors such as the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. The salary range for different locations is as follows:
- CA: Minimum Salary $109,600, Maximum Salary $206,200
- CO/HI/MN/VT: Minimum Salary $95,300, Maximum Salary $171,800
- IL: Minimum Salary $104,900, Maximum Salary $189,400
- Jersey City, NJ/NYC, NY: Minimum Salary $114,300, Maximum Salary $206,200
- MA/WA: Minimum Salary $95,300, Maximum Salary $197,600
- MD/Washington, DC: Minimum Salary $109,600, Maximum Salary $197,600
- NJ State: Minimum Salary $104,900, Maximum $206,200
- NY State: Minimum Salary $95,300, Maximum Salary $206,200
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges to allow candidates to consider their growth potential within the organization. Employees may also be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are eligible for overtime pay in accordance with federal, state, or local law.
Additional Information:
FINRA offers comprehensive health, dental, and vision insurance, as well as additional insurance options including 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 insurance. The organization also provides a 401(k) plan with company match, tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave:
FINRA encourages employees to focus on their health and wellness through a generous time-off program, which includes 15 days of paid time off, 5 personal days, and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, the organization supports community involvement by providing two volunteer service days (based on a 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.
Important Information:
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures specific to its role as a securities regulator. Employees must disclose all brokerage accounts they maintain or control and authorize their broker-dealers to provide FINRA with duplicate statements for all accounts. These accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with these restrictions by the start of their employment. Employees must maintain securities accounts at firms that provide an electronic feed of data to FINRA and move accounts to such firms within three months of beginning employment.
Employees are required to execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the organization’s policy on nepotism.
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status, or any other classification protected by federal, state, or local laws. FINRA abides by regulations prohibiting discrimination against qualified individuals on the basis of disability and qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities and protected veterans.
May 02, 2025
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