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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates advanced investigative judgment and risk-based strategy development while conducting complex fraud-related investigations. Possesses strong analytical capabilities and regulatory compliance knowledge to effectively communicate findings and mentor less experienced staff.
Highest-signal resume keywords
Advanced Investigative JudgmentRisk-Based Strategy DevelopmentRegulatory Compliance KnowledgeAdvanced Data Analysis CapabilitiesExpert Guidance in Investigations
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Fraud InvestigationData AnalysisEvidence GatheringRegulatory ComplianceFinancial InvestigationsRisk IdentificationReport PreparationTestimony in LitigationComplex Data InterpretationSecurities Market Knowledge
Soft Skills
Advanced Written CommunicationStakeholder EngagementMentoringOrganizational SkillsAttention to Detail
Tools & Technologies
Investigative TechnologiesData Analysis ToolsDocument Review TechniquesAnalytical Approaches
Certifications & Qualifications
CFEACAMSCPA
Industry Keywords
FINRA RulesSecurities Exchange Act of 1934Financial ServicesSecurities MarketsMember Firm OperationsFraud TrendsRegulatory RisksCompliance EventsEmerging ThreatsFinancial Regulatory Industry
About the role
Key responsibilities & impact- Independently lead and conduct high-risk, complex fraud-related investigations involving improper use of firm or customer assets
- Develop and execute risk-based investigative strategies under limited supervision
- Investigate misappropriation, conversion, unauthorized trading, borrowing and lending to or from customers, forgery and falsification, misuse of firm assets, and fraudulent conversion
- Gather evidence through document review, data analysis, written correspondence, verbal communication, and on-the-record testimony
- Develop thorough, accurate, and well-documented factual records
- Conduct advanced data analysis and explain analytical approaches, findings, exceptions, and assumptions
- Partner 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 in meetings with FINRA staff, respondents, regulators, and other stakeholders
- Provide testimony in litigation when required
- Identify and escalate emerging fraud trends, threats, novel issues, and regulatory risks
- Serve as a FINRA subject matter expert on fraud-related trends, typologies, threats, and risks involving improper use of assets
- Provide expert guidance to investigations, examination, risk monitoring, and enforcement teams
- Mentor and support less experienced investigators and review their work product
- Participate in or lead special projects, regulatory initiatives, thematic reviews, and development of analytics, investigative tools, or processes
- Contribute to fraud-mitigation initiatives, 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
- 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 relative to areas of misconduct
- 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
- Awareness of industry events, emerging trends, and regulatory developments pertinent to areas of misconduct
- Familiarity with FINRA's organizational structure, departmental mandates, internal applications, and associated data
- Advanced investigative judgment, risk-based strategy development, complex data and evidence interpretation, and decision-making
- Advanced written and verbal communication skills, stakeholder engagement, and ability to provide litigation testimony when required
- Advanced data analysis capabilities, including identifying patterns and anomalies
- Ability to liaise effectively with internal and external stakeholders
- Strong organizational skills, attention to detail, 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
- Ability to work independently with limited supervision and adapt to uncertain, fast-paced conditions
- Advanced degree (MBA, JD) or professional certification such as CFE, ACAMS, or CPA preferred
Benefits
Comp & perks- Discretionary bonus eligibility
- 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, 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