Principal Investigator, Specialist Team - All FINRA Locations

The Principal Investigator, Specialist Teams, conducts high complexity routine and special investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides guidance to Member Supervision staff on their complex assignments.

This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives.

This is an expert level, professional position that requires an expanded skillset, limited guidance and minimal supervision, and leading and training others.

Essential Job Functions:

The Principal Investigator demonstrates a highly proficient level of competence in identifying risks, developing regulatory strategies and executing those examination strategies to completion to address those risks.

The Principal Investigator collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.  

The Principal Investigator comprehensively documents strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies.  The Principal Investigator acts as a liaison and subject matter expert for various stakeholders throughout FINRA.  The Principal Investigator executes those responsibilities with minimal supervision.


* Leads execution of high complexity investigations with limited guidance and minimal supervision.


* Conducts complex risk identification reviews.


* Conducts consultative tasks of high complexity with minimal supervision.


* Proficient in utilizing internal and external resources.


* Proactively identifies notable trends and participates in special projects in area of specialty. 


* Provides training to FINRA personnel on complex investigations.


* Conducts and facilitates 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 the federal securities laws and demonstrated investigative experience.


* Advanced knowledge of the securities markets and member firm operations and its books and records.


* Advanced written and verbal communications skills.


* Advanced ability to initiate and complete high quality reviews and investigations, including an ability to work quickly on multiple time-sensitive matters.


* 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.

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For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington,...