Senior Investigator, Regulatory Investigations & Scoping

Financial Industry Regulatory Authority, Inc.; Rockville (MD); Hybrid; USD 120,000 - 160,000; Full time

Benefits offered by this job

Health, dental and vision insurance

401(k) plan with company match

Generous paid time off

Job summary

FINRA seeks a Principal Investigator to independently conduct high‑complexity investigations across misconduct areas. You will analyze investigative data, develop risk-based strategies, and produce thorough, well‑documented findings to support regulatory outcomes.

The role requires strong judgment and collaboration with Enforcement, Risk, Examinations, and RegOps teams. You will mentor junior staff, contribute to thematic reviews, and communicate findings in meetings and potential testimony.

Qualifications

• Bachelor’s degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience.
• Advanced degree (MBA, JD) or professional certification preferred.
• Minimum of seven (7) years of progressive experience in the securities, financial services, or financial regulatory industry.

Responsibilities

• Lead and conduct investigations of high risk and complexity across misconduct areas.
• Develop complete and accurate factual records from evidence and testimony.
• Perform advanced data analysis using established methodologies.
• Collaborate with Enforcement and cross‑functional partners to inform regulatory response.
• Document and communicate findings; prepare investigative reports and testimony when required.
• Identify emerging risks and leverage trends to reprioritize investigations.
• Serve as a knowledge resource and mentor less experienced staff.

Skills

Investigative Judgment

Communication

Analytical Capability

Collaboration

Prioritization & Organization

Mentorship & Guidance

Initiative & Adaptability

SQL

PowerBI

Education

Bachelor’s degree in accounting, finance, economics, business administration

MBA or JD preferred

Tools

SQL

PowerBI

Job description

FINRA seeks a Principal Investigator to independently conduct high‑complexity investigations across misconduct areas. You will analyze investigative data, develop risk-based strategies, and produce thorough, well‑documented findings to support regulatory outcomes.

The role requires strong judgment and collaboration with Enforcement, Risk, Examinations, and RegOps teams. You will mentor junior staff, contribute to thematic reviews, and communicate findings in meetings and potential testimony.