Principal Investigator

FINRA

. Independently lead and conduct high-risk, complex investigations involving complex fact patterns, multiple respondents, and varied products and strategies .

Posted 10/13/2026full-timeUnited StatesLeadWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates advanced investigative skills, including data analysis, regulatory compliance knowledge, and the ability to develop risk-based strategies. Capable of mentoring staff and effectively communicating findings to various stakeholders.

Highest-signal resume keywords

Advanced Data AnalysisRegulatory Compliance KnowledgeInvestigative Strategy DevelopmentWritten and Verbal Communication SkillsMentoring and Training Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data AnalysisInvestigative TechniquesRegulatory ComplianceRisk AssessmentEvidence GatheringReport WritingEnforcement InvestigationsAnalytical Findings ApplicationComplex Problem SolvingSecurities Market Knowledge

Soft Skills

Organizational SkillsAttention to DetailStakeholder LiaisonIndependent WorkTeam Coordination

Tools & Technologies

Investigative TechnologiesData Analysis ToolsAnalytical Software

Certifications & Qualifications

CFEACAMSCPA

Industry Keywords

FINRA RulesSecurities Exchange Act of 1934Financial Regulatory IndustryEmerging ThreatsMember Firm OperationsCompliance EventsRegulatory RisksFinancial InvestigationsSecurities MarketsBusiness Models

About the role

Key responsibilities & impact

Independently lead and conduct high-risk, complex investigations involving complex fact patterns, multiple respondents, and varied products and strategies
Develop and execute effective, risk-based investigative strategies under limited supervision
Gather evidence through document review, data analysis, written correspondence, verbal communication, and on-the-record testimony
Develop thorough, factually accurate, and clearly documented investigative findings
Conduct advanced data analysis, resolve questions about analytical approaches, and describe analysis, findings, exceptions, and assumptions
Partner with Enforcement attorneys to develop factual records and assess evidence supporting potential charges and sanctions
Prepare written summaries, investigative reports, referrals to Enforcement and external agencies, and recommendations
Communicate findings in meetings with FINRA staff, respondents, regulators, and other stakeholders
Provide testimony in litigation when required
Identify emerging trends, threats, novel issues, and regulatory risks; escalate matters and recommend solutions
Stay current on rule changes, interpretations, and industry developments
Provide guidance and consultation to investigators and FINRA staff
Mentor and support less experienced investigators; review work product and provide feedback
Participate in or lead special projects, regulatory initiatives, thematic reviews, and development of analytics, investigative tools, or processes
Contribute to program strategy and continuous improvement
Engage with member firms, external regulators, and industry stakeholders
Participate in member firm and investor education activities, including compliance events
Represent FINRA at internal and external meetings
Demonstrate FINRA's values and collaborate in person and virtually to advance investor protection and market integrity

Requirements

What you’ll need

Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience
Minimum of seven (7) years of progressive experience in the securities, financial services, or financial regulatory industry
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
Advanced knowledge of relevant FINRA rules, applicable SRO rules, the Securities Exchange Act of 1934, and federal securities laws
Advanced knowledge of securities markets, member firm operations, books and records, firm business models, products, and services
Advanced knowledge of risks, products, and emerging threats specific to the area 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
Familiarity with FINRA's organizational structure, departmental mandates, internal applications, and associated data
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
Advanced written and verbal communication skills
Ability to provide testimony in litigation when required
Advanced ability to conduct data analysis, identify patterns and anomalies, and apply analytical findings to investigative strategies
Advanced ability to liaise effectively with internal and external stakeholders
Strong organizational skills and high attention to detail
Ability to manage multiple time-sensitive matters, establish and meet timelines, and balance independent work with team coordination
Advanced ability to identify, prioritize, and escalate risk
Demonstrated ability to guide and mentor less experienced staff
Demonstrated ability to work independently with limited supervision and adapt to uncertain and fast-paced conditions
Extended hours and some travel may be required
Advanced degree (MBA, JD) or professional certification (e.g., CFE, ACAMS, CPA) preferred

Benefits

Comp & perks

Discretionary bonus may be available in addition to base pay
Overtime pay for non-exempt employees in accordance with applicable law
Comprehensive health, dental, and vision insurance
Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short- and long-term disability insurance
Long-term care insurance
Business travel accident insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
Eligibility for an additional FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off initially, increasing with years of service up to 25 days
5 personal days
9 sick days
2 volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
9 paid holidays for full-time employees