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 StatesLead💰 $97,700 - $211,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates advanced investigative judgment and the ability to conduct complex financial investigations while developing risk-based strategies. Possesses strong communication skills for effective collaboration with regulatory bodies and stakeholders.

Highest-signal resume keywords

Advanced Data AnalysisRegulatory Compliance KnowledgeFINRA Securities Industry Essentials CertificationExperience in Financial InvestigationsStrong Written and Verbal Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data AnalysisInvestigative StrategiesEvidence GatheringRisk AssessmentRegulatory KnowledgeFinancial Services ExpertiseSecurities Market KnowledgeAdvanced Investigative JudgmentTestimony in LitigationDocument Review

Soft Skills

MentoringOrganizational SkillsIndependent WorkAdaptabilityCollaboration

Tools & Technologies

Investigative TechnologiesData Analysis Tools

Certifications & Qualifications

FINRA Securities Industry Essentials Certification

Industry Keywords

Securities Exchange Act of 1934Financial Regulatory IndustryEnforcement EnvironmentMember Firm OperationsRegulatory RisksCompliance EventsEmerging ThreatsInvestor ProtectionMarket IntegrityFINRA Rules

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 complete, accurate, thorough, and well-documented factual records
Conduct advanced data analysis, resolve questions about analytical approaches, and explain analyses, 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 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 less experienced investigators, review work product, and provide constructive 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
Collaborate in-person and virtually with Enforcement, Risk and Intelligence, Examinations, and other Regulatory Operations partners to advance investor protection and market integrity
Demonstrate FINRA's values

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
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
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort
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 relative to area(s) of misconduct
Advanced knowledge of risks, products, and emerging threats specific to area(s) of misconduct
Strong understanding of regulatory compliance issues and risks associated with firm business lines and customer bases
Familiarity with FINRA's organizational structure, departmental mandates, internal applications, and associated data
Advanced investigative judgment and ability to develop risk-based approaches, interpret complex data and evidence, make sound decisions, and progress complex investigations under limited supervision
Advanced written and verbal communication skills, including ability to provide testimony in litigation when required
Advanced data analysis ability, including identifying patterns and anomalies and applying findings to investigative strategies
Strong organizational skills and ability to manage multiple time-sensitive matters
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 in uncertain and fast-paced conditions
Extended hours and some travel may be required

Benefits

Comp & perks

Discretionary bonus eligibility
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
Wellness programs
15–25 days of paid time off
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
Childbirth and parental leave
9 paid holidays
Hybrid work environment