Principal Investigator, VAST - All FINRA Locations

The Vulnerable Adults and Seniors Team (VAST) is a specialized unit within FINRA's National Cause and Financial Crimes Program (NCFC).

VAST is charged with investigating financial exploitation and abuse of seniors and vulnerable adults, including individuals with diminished capacity or cognitive impairment.

The Principal Investigator executes functions in support of the VAST's mission, including, but not limited to, conducting complex risk-based investigations of FINRA member firms and registered representatives involving potential Elder Financial Exploitation (EFE), providing consultation services to FINRA staff, participating in special projects, and collaborating with other units across the organization regarding relevant risks.

Essential Job Functions:


* Independently leads and/or participates in investigations of medium to high and high complexity matters under limited supervision.


* Conducts examination tasks that may include, but is not limited to: (1) reviews conducted in collaboration with Member Supervision examination staff (2) reviews conducted on matters originated by specialist team (3) reviews conducted in relation to internal/external tips (4) reviews conducted related to referrals.


* Participates in On-The-Record interviews of relevant parties with limited supervision, including collaboration with the Department of Enforcement. 


* Serves as a VAST risk resource with advanced level knowledge and provides guidance to FINRA staff.


* Prepares examination reports, supporting documents, and recommend appropriate disciplinary action resulting from examination activities to the team's Investigations Manager.


* Develops cases and determines whether exceptions merit referral to enforcement with limited supervision. 


* Under limited supervision, conducts interviews, either formally or informally, of member firm personnel, member firm customers, other FINRA staff, and staff of other regulatory agencies to gather data pertinent to examinations, investigations and reviews.


* Regularly presents investigative output (orally and in writing) which detail relevant findings, potential violations and recommendations for next steps to the team's Investigations Manager.


* Regularly participate in providing guidance and advice with regard to high risk examinations and any other special national projects, sweeps and task forces where expertise is needed.


* Actively participates in and lead meetings with firms and other FINRA departments with limited supervision.


* Trains and mentors less experienced investigators. 


* Regularly leads or co-leads initiatives, special or regulatory projects related to area(s) of expertise.

Education/Experience Requirements:


* Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.


* Advanced knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience....