Principal Investigator, Anti-Money Laundering

Location: Rockville, MD (Job Posting)

Job Description Summary

The Principal Investigator is an advanced professional responsible for independently conducting and completing high risk and complex money laundering-related investigations that focus on detection, investigation and mitigation of money laundering-related trends, typologies, threats and risks within the securities industry.

This role exercises strong independent judgment in developing and executing money laundering-related investigative strategies, identifying regulatory risks, and producing comprehensive, well-documented investigative findings that support sound regulatory outcomes. Working under limited supervision, the Principal Investigator handles money laundering-related matters involving complex fact patterns, a variety of rules and products, multiple respondents, and elevated regulatory risk.

This position contributes meaningfully as a knowledge resource within the team, sharing expertise with peers and less experienced staff, and proactively identifying money laundering-related trends and risks. The Principal Investigator collaborates effectively with Enforcement, Risk and Intelligence, Examinations, and other Regulatory Operations (RegOps) partners to advance FINRA's mission of investor protection and market integrity.

Lead and Conduct Complex Investigations — Independently lead and conduct money laundering-related investigations of high risk and complexity, including matters involving complex fact patterns, multiple respondents, and a range of products and strategies; develop and execute effective, risk-based investigative strategies under limited supervision. Investigations include testing a firm’s AML Compliance Program to ensure it is reasonably designed to comply with requirements such as detecting and causing the reporting of suspicious transactions, customer identification program, customer due diligence program and due diligence for correspondent accounts for foreign financial institutions, or a registered representative misconduct related to illicit finance.

Additional Locations: Jericho, NY (Job Posting), Denver, CO (Job Posting), Chicago, IL (Job Posting), Boston, MA (Job Posting), Boca Raton, FL (Job Posting), Plano, TX (Job Posting), Tysons, VA (Job Posting), Jersey City, NJ (Job Posting), Woodbridge, NJ (Job Posting), Washington, DC (Job Posting), Philadelphia, PA (Job Posting), New York, NY (Job Posting), Los Angeles, CA (Job Posting)