Senior Principal Investigator – Crypto Asset Investigations Unit

FINRA

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

Posted 11/11/2026full-timeUnited StatesSenior💰 $114,200 - $248,700 per yearWebsite

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 industry. Capable of leading complex investigations, mentoring staff, and effectively communicating findings to stakeholders.

Highest-signal resume keywords

Expert Knowledge Of FINRA RulesAdvanced Data AnalysisRegulatory Compliance ExpertiseExperience 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 Strategy DevelopmentRisk-Based ApproachesEvidence GatheringAnalytical TechniquesRegulatory Risk AssessmentFinancial InvestigationsDocument ReviewTestimony PreparationPattern Identification

Soft Skills

MentoringCoachingStakeholder EngagementOrganizational SkillsAttention To Detail

Tools & Technologies

Investigative TechnologiesData Analysis ToolsAnalytical Software

Certifications & Qualifications

FINRA Securities Industry Essentials (SIE)Certified Fraud Examiner (CFE)Anti-Money Laundering Specialist (ACAMS)Certified Public Accountant (CPA)

Industry Keywords

Securities IndustryFinancial ServicesRegulatory ComplianceSecurities Exchange Act Of 1934Member Firm OperationsEmerging TrendsMarket IntegrityInvestor ProtectionEnforcement Team EnvironmentCompliance Events

About the role

Key responsibilities & impact

Independently lead and conduct investigations of the highest risk and complexity
Develop and execute effective, 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, factually accurate, and clearly documented
Conduct advanced data analysis, resolve questions about analytical approaches, and recommend new analytical techniques
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 and escalate emerging trends, threats, novel issues, and regulatory risks
Provide expert guidance and consultation to investigators and FINRA staff
Coach, train, and mentor investigators and other staff
Lead or participate in special projects, regulatory initiatives, thematic reviews, and development of analytics, investigative tools, or processes
Engage with member firms, external regulators, and industry stakeholders
Conduct or participate in member firm/investor education, conference panels, and compliance events
Represent FINRA at internal and external meetings
Support FINRA's mission of 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
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
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 relative to area(s) of misconduct
Advanced to expert knowledge of risks, products, and emerging threats specific to area(s) of misconduct
Comprehensive 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 area(s) of misconduct
Familiarity with FINRA's organizational structure, departmental mandates, cross-functional priorities, internal applications, and associated data
Expert ability to independently assess investigative strategy, develop risk-based approaches, interpret complex data and evidence, make sound decisions, and progress complex investigations to resolution with minimal supervision
Expert written and verbal communication skills, including interpersonal, presentation, and stakeholder engagement abilities
Advanced to expert ability to conduct data analysis, identify patterns and anomalies, and apply analytical findings to investigative strategies
Expert ability to liaise effectively with internal and external stakeholders
Strong organizational skills with high attention to detail and ability to manage multiple time-sensitive matters simultaneously
Expert ability to identify, prioritize, and escalate risk and recognize emerging trends, threats, and regulatory issues
Demonstrated ability to mentor and train staff and develop and deliver effective training programs
Demonstrated ability to work independently with minimal supervision and adapt to uncertain and fast-paced conditions
Advanced degree (MBA, JD) or professional certification (e.g., CFE, ACAMS, CPA) strongly preferred

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
Paid time off starting at 15 days, 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
Hybrid work environment