Senior Principal Investigator - Crypto Asset Investigations Unit (CAI)

Location: Rockville, MD (Job Posting)

FINRA’s Crypto Asset Investigations Unit (CAI) is seeking experienced Senior Principal Investigators for two specialized tracks: Crypto Fraud and Market Abuse and Crypto Regulatory Conduct.

These expert-level roles lead high-risk, complex investigations involving crypto asset activities of FINRA member firms and associated persons. Depending on the track, investigators focus on fraud and market abuse using onchain investigative techniques or market conduct regulatory compliance obligations.

Senior Principal Investigators serve as subject matter experts, exercise significant independent judgment, and collaborate across FINRA to identify emerging risks and support strong regulatory outcomes.

Lead Complex Investigations — Independently lead and conduct investigations of the highest risk and complexity, including matters involving complex fact patterns, novel rules, multiple respondents, sophisticated or emerging products, high likelihood of litigation, and urgent high-risk activity; develop and execute effective, risk-based investigative strategies with minimal supervision.

Develop Complete & Accurate Factual Records — Gather evidence through document review, data analysis, written correspondence, and verbal communication including on-the-record testimony; ensure investigative findings are thorough, factually accurate, and clearly documented.

Perform Advanced Data Analysis — Independently conduct advanced data analysis in accordance with well-established methodologies; identify and resolve questions about analytical approaches to ensure consistency; effectively describe analysis, findings, and any exceptions or assumptions; recommend new analytical techniques as appropriate.

Collaborate with Enforcement & Cross-Functional Partners — Partner with Enforcement attorneys to develop factual records within clear legal frameworks and ensure that evidence supports potential charges and sanctions; provide insight from industry experience and subject matter expertise to objectively assess the sufficiency of evidence.

Document & Communicate Findings — Prepare clear, complete, and persuasive written summaries, investigative reports, referrals to Enforcement and external agencies, and recommendations; communicate effectively in meetings with FINRA staff, respondents, regulators, and other stakeholders; provide testimony in litigation when required.

Identify & Escalate Emerging Risks and Threats — Proactively identify notable and emerging trends, threats, novel issues, and regulatory risks; escalate matters requiring reprioritization and recommend solutions; stay current on rule changes, interpretations, and industry developments within area(s) of expertise.

Serve as Subject Matter Expert — Provide expert-level guidance and consultation to other investigators, and FINRA staff on matters within area(s) of expertise; assist in resolving conflicts in investigative approaches or inconsistent findings across teams.

Train and Mentor Staff — Coach, train, and mentor investigators and other staff in investigative techniques, processes, and responsibilities; develop and deliver staff training; review work product and provide constructive feedback as directed by management.

Lead and Contribute to Initiatives — Lead or participate in special projects, regulatory initiatives, thematic reviews, and development of new analytics, investigative tools, or processes that detect and deter violative activity; contribute to program strategy and continuous improvement.

Represent FINRA Externally — Engage professionally with member firms, external regulators, and industry stakeholders; conduct or participate in member firm/investor education including conference panels and compliance events; represent FINRA at internal and external meetings as directed.

Demonstrate FINRA's values.

Collaboration, both in-person and virtually, in furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements

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 (e.g., CFE, ACAMS, CPA) strongly preferred.

Minimum of eight (8) years of progressive experience in the securities, financial services, or financial regulatory industry, with substantive knowledge of regulatory compliance.

Demonstrated experience providing guidance to staff, and leading projects and initiatives in an investigative, examination, or enforcement team environment.

Demonstrated experience conducting enforcement-oriented, regulatory, or financial investigations of varying complexity.

Familiarity with investigative technologies, data analysis tools, and data strategies.

FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

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), San Francisco, CA (Job Posting), Philadelphia, PA (Job Posting), New York, NY (Job Posting), Los Angeles, CA (Job Posting)