Senior Investigator: Complex Regulatory Investigations

FINRA; Rockville (MD); Híbrido; USD 130.000 - 170.000; Jornada completa

Descripción de la vacante

FINRA in Rockville, MD seeks a Principal Investigator to independently conduct and complete high-risk investigations, developing and executing investigative strategies within regulatory frameworks. You will produce thorough, well-documented findings while collaborating with Enforcement, Risk and Intelligence, and Examinations teams.

Qualified candidates will have 7+ years in securities investigations, strong data analysis skills (SQL/PowerBI preferred), and the ability to mentor staff and lead

Formación

• Bachelor's degree in accounting, finance, economics, business, or related field; MBA/JD preferred.
• Minimum of seven years in securities, financial services, or regulatory investigations.
• Experience in enforcement-oriented investigations and data analysis.
• Familiarity with investigative technologies and data strategies; SQL/PowerBI preferred.

Responsabilidades

• Lead and conduct complex investigations with a focus on high-risk matters.
• Develop complete factual records through documents, testimony and analysis.
• Perform advanced data analysis using established methodologies.
• Collaborate with Enforcement attorneys and cross-functional teams.
• Prepare clear investigative reports and provide testimony as needed.
• Identify emerging risks and elevate priority matters.
• Serve as a knowledge resource and mentor staff.
• Contribute to initiatives and regulatory projects; support strategic goals.
• Represent FINRA professionally in meetings with stakeholders.

Conocimientos

Investigative judgment

Communication

Analytical capability

Collaboration

Prioritization

Risk identification

Mentorship

Initiative

Educación

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

MBA or JD preferred

Herramientas

SQL

PowerBI

Descripción del empleo

FINRA in Rockville, MD seeks a Principal Investigator to independently conduct and complete high-risk investigations, developing and executing investigative strategies within regulatory frameworks. You will produce thorough, well-documented findings while collaborating with Enforcement, Risk and Intelligence, and Examinations teams.

Qualified candidates will have 7+ years in securities investigations, strong data analysis skills (SQL/PowerBI preferred), and the ability to mentor staff and lead