Senior Fraud Investigator — Asset Misuse & Risk

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 110.000 - 170.000; Vollzeit

Benefits dieser Stelle

Discretionary bonus

401(k) with company match

Health, dental and vision insurance

Paid holidays

Zusammenfassung

FINRA seeks a Principal Investigator to independently lead high-risk fraud investigations in the securities industry, developing and executing risk-based strategies with minimal supervision. You will gather evidence, analyze complex data, and produce thorough records and recommendations for Enforcement and regulators.

You will mentor junior staff and stay ahead of emerging fraud threats. The role operates in a hybrid environment, collaborating with Enforcement, Risk & Intelligence, Examinations,

Qualifikationen

• Bachelor's degree in Accounting, Finance, Economics, Business Administration, or related field.
• Advanced degree (MBA, JD) or professional certification (CFE, ACAMS, CPA) preferred.
• Minimum seven (7) years of progressive experience in securities, financial services, or financial regulatory industry.

Aufgaben

• Lead and conduct complex fraud investigations of high risk and complexity.
• Develop complete and accurate factual records from evidence gathered.
• Perform advanced data analysis using established methodologies.
• Collaborate with Enforcement and cross-functional partners to develop factual records within legal frameworks.
• Document and communicate findings in clear written and oral form; provide testimony when required.
• Identify emerging fraud trends, threats, and regulatory risks; escalate as needed.
• Serve as a knowledge resource and mentor less experienced staff.

Kenntnisse

Investigative judgment

Communication

Analytical capability

Collaboration

Prioritization & organization

Risk identification

Mentorship & guidance

Initiative & adaptability

Ausbildung

Bachelor's degree in Accounting, Finance, Economics, Business Administration, or related field

Advanced degree (MBA, JD) or professional certification (CFE, ACAMS, CPA) preferred

Jobbeschreibung

FINRA seeks a Principal Investigator to independently lead high-risk fraud investigations in the securities industry, developing and executing risk-based strategies with minimal supervision. You will gather evidence, analyze complex data, and produce thorough records and recommendations for Enforcement and regulators.

You will mentor junior staff and stay ahead of emerging fraud threats. The role operates in a hybrid environment, collaborating with Enforcement, Risk & Intelligence, Examinations,