Job Description

The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; provides guidance to Member Supervision staff on their complex assignments, as well as consultative services for FINRA staff, related to cybersecurity fraud tactics, techniques, and practices. This is an advanced expert level, professional position, that requires an expanded skillset, ability to work independently with minimal guidance and supervision, while managing a complex caseload and leading, supervising, and training others. Beyond identifying cyber enabled fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives, this position proactively surveils the industry for cyber threat intelligence, analyzes that intelligence, and helps generate both tactical and strategic intelligence products.

Essential Job Functions:

The Senior Principal Investigator is an expert in identifying risks, developing regulatory strategies and executing those examination strategies to completion to address those risks. The Senior Principal Investigator is expected to handle examinations that present complex circumstances and unique regulatory challenges. The Senior Principal Investigator collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.

The Senior Principal Investigator comprehensively documents strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies. The Senior Principal Investigator acts as a liaison and subject matter expert for various stakeholders throughout FINRA.

The Senior Principal Investigator executes those responsibilities with minimal supervision.

• Independently conducts investigations of the highest risk and complexity.
• Expert knowledge of internal and external resources.
• Independently conducts risk identification and risk reviews of the highest risk and complexity.
• Independently conducts consultative tasks of high complexity with minimal direct supervision.
• Develops and provides staff training in area of specialty.
• Leads on the record interviews, in collaboration with Enforcement, as needed.
• Serves as an expert in area of specialty for FINRA staff.
• Proactively identifies notable and emerging trends and with management recommends guidelines as it relates to area(s) of expertise, or FINRA initiatives.

Education/Experience Requirements:

• Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.
• Expert knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
• Expert knowledge of the securities markets and member firm operations and its books and records.
• Highly advanced written and verbal communications skills.
• Highly advanced ability to initiate and complete high quality reviews and investigations independently, including an ability to work quickly on multiple time-sensitive matters.
• Highly advanced organizational skills with exceptional attention to detail.
• Expert proficiency using computer programs with the full suite of Office software applications.
• Highly effective at building and managing relationships.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $124,300, Maximum Salary $235,500

CO/HI/MN/VT*: Minimum Salary $108,200, Maximum Salary $196,200

IL*: Minimum Salary $119,200, Maximum Salary $215,900
Jersey City, NJ/NY, NY: Minimum Salary $129,800, Maximum Salary $235,500

MD/Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

WA: Minimum Salary $108,200, Maximum Salary $225,700

• Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at

EmployeeRelations@finra.org.

Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

• Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

Job Tags

Holiday work, Full time, Temporary work, For contractors, For subcontractor, Local area, Immediate start,

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