Principal Investigator – Anti-Money Laundering

FINRA

. Independently lead and conduct high-risk, complex money laundering-related investigations within the securities industry .

Posted 10/16/2026full-timeUnited StatesLead💰 $97,700 - $211,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates advanced investigative judgment and expertise in conducting complex money laundering investigations within the securities industry, while effectively communicating findings and collaborating with stakeholders. Possesses strong knowledge of regulatory compliance, data analysis, and risk management strategies.

Highest-signal resume keywords

Advanced Investigative JudgmentRegulatory Compliance KnowledgeData Analysis SkillsFINRA Securities Industry Essentials CertificationExperience in Financial Investigations

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Money Laundering InvestigationsRisk-Based Investigative StrategiesSuspicious Transaction ReportingCustomer Due DiligenceData AnalysisEvidence GatheringReport PreparationRegulatory Risk IdentificationAdvanced Knowledge of FINRA RulesSecurities Market Knowledge

Soft Skills

Advanced Written CommunicationStakeholder EngagementMentoringOrganizational SkillsAbility to Work Independently

Tools & Technologies

Investigative TechnologiesData Analysis ToolsDocument Review ProcessesAnalytical Approaches

Certifications & Qualifications

FINRA Securities Industry Essentials Certification

Industry Keywords

Securities IndustryFinancial ServicesRegulatory ComplianceEnforcement InvestigationsEmerging ThreatsCustomer IdentificationCorrespondent-Account Due DiligenceFinancial Regulatory IndustrySecurities Exchange Act of 1934Compliance Events

About the role

Key responsibilities & impact

Independently lead and conduct high-risk, complex money laundering-related investigations within the securities industry
Test firms' AML Compliance Programs, including suspicious transaction reporting, customer identification, customer due diligence, and correspondent-account due diligence
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, and well-documented factual records
Conduct advanced data analysis and explain analytical approaches, findings, exceptions, and assumptions
Collaborate with Enforcement attorneys to develop factual records and assess evidence supporting potential charges and sanctions
Prepare investigative reports, written summaries, Enforcement referrals, external-agency referrals, and recommendations
Communicate findings with FINRA staff, respondents, regulators, and other stakeholders
Provide testimony in litigation when required
Identify and escalate emerging money laundering trends, threats, novel issues, and regulatory risks
Serve as FINRA's subject matter expert on money laundering-related trends, typologies, threats, and risks
Provide expert guidance to investigations, examination, risk monitoring, and enforcement teams
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
Represent FINRA at member-firm and investor education activities, compliance events, and internal or external meetings
Collaborate in person and virtually to advance FINRA's investor-protection and market-integrity mission

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 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
Advanced knowledge of risks, products, and emerging threats specific to areas 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 and progress complex investigations to resolution under limited supervision
Advanced written and verbal communication skills, stakeholder engagement, and ability to provide litigation testimony
Advanced data analysis skills, including identifying patterns and anomalies
Ability to liaise effectively with internal and external stakeholders
Strong organizational skills and ability to manage multiple time-sensitive matters
Advanced ability to identify, prioritize, and escalate risk
Ability to mentor less experienced staff
Ability to work independently with limited supervision and adapt in uncertain, fast-paced conditions
Extended hours and some travel may be required
Compliance with FINRA employee investment restrictions and financial disclosure requirements
Ability to execute FINRA's Employee Confidentiality and Invention Assignment Agreement

Benefits

Comp & perks

Discretionary bonus eligibility
Overtime pay for non-exempt employees
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 days of paid time off, 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
Childbirth and parental leave
9 paid holidays for full-time employees