Senior Principal Investigator

FINRA

. Independently lead and conduct investigations of the highest risk and complexity .

Posted 10/13/2026full-timeUnited StatesSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expert knowledge of regulatory compliance, investigative strategies, and data analysis within the financial services sector. Capable of leading complex investigations, mentoring staff, and effectively communicating findings to various stakeholders.

Highest-signal resume keywords

Expert Knowledge Of FINRA RulesAdvanced Data Analysis AbilityRegulatory Compliance ExpertiseExperience Leading Investigative ProjectsStrong Written And Verbal Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data AnalysisInvestigative StrategiesRisk AssessmentRegulatory ComplianceFinancial InvestigationsEvidence GatheringAnalytical TechniquesReport PreparationConflict ResolutionMentoring And Training

Soft Skills

Organizational SkillsStakeholder EngagementAdaptabilityCoachingCollaboration

Tools & Technologies

Investigative TechnologiesData Analysis ToolsDocument Review SystemsCompliance SoftwareAnalytical Tools

Industry Keywords

Securities IndustryFinancial ServicesRegulatory EnvironmentSecurities Exchange Act Of 1934FINRAMember Firm OperationsEmerging ThreatsFinancial Regulatory IndustryEnforcement TeamCompliance Events

About the role

Key responsibilities & impact

Independently lead and conduct investigations of the highest risk and complexity
Develop and execute risk-based investigative strategies with minimal supervision
Gather evidence through document review, data analysis, written correspondence, verbal communication, and on-the-record testimony
Ensure investigative findings are thorough, accurate, and clearly documented
Conduct advanced data analysis and resolve questions about analytical approaches
Describe analyses, findings, exceptions, and assumptions; recommend new analytical techniques
Partner with Enforcement attorneys to develop factual records and assess evidence supporting potential charges and sanctions
Prepare investigative reports, written summaries, 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
Provide expert guidance and consultation to investigators and FINRA staff
Resolve conflicts in investigative approaches or inconsistent findings across teams
Coach, train, and mentor investigators and other staff
Develop and deliver staff training; review work product and provide feedback
Lead or participate in special projects, regulatory initiatives, thematic reviews, and development of analytics, tools, or processes
Engage with member firms, external regulators, and industry stakeholders
Conduct or participate in member firm and investor education, conference panels, and compliance events
Represent FINRA at internal and external meetings
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 eight (8) years of progressive experience in the securities, financial services, or financial regulatory industry
Substantive knowledge of regulatory compliance
Experience providing guidance to staff and leading projects and initiatives in an investigative, examination, or enforcement team environment
Experience conducting enforcement-oriented, regulatory, or financial investigations of varying complexity
Familiarity with investigative technologies, data analysis tools, and data strategies
Expert knowledge of relevant FINRA rules, applicable SRO rules, the Securities Exchange Act of 1934, and federal securities laws
Expert knowledge of securities markets, member firm operations, books and records, firm business models, products, and services relevant to the misconduct area
Advanced to expert knowledge of risks, products, and emerging threats specific to the misconduct area
Comprehensive understanding of regulatory compliance issues and risks associated with firm business lines and customer bases
Familiarity with FINRA's organizational structure, departmental mandates, cross-functional priorities, internal applications, and associated data
Expert investigative judgment and ability to independently develop risk-based approaches and progress complex investigations with minimal supervision
Expert written and verbal communication skills, including presentation and stakeholder engagement abilities
Advanced to expert data analysis ability, including identifying patterns and anomalies
Strong organizational skills and ability to manage multiple time-sensitive matters
Expert ability to identify, prioritize, and escalate risk
Demonstrated ability to mentor and train staff
Ability to work independently with minimal supervision and adapt to uncertain, fast-paced conditions
Extended hours and some travel may be required
Employees must comply with FINRA investment restrictions and financial disclosure requirements
Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy

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, 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
Family member care leave after 90 days of employment
Childbirth and parental leave after 90 days of employment
9 paid holidays for full-time employees