Senior Investigator, NCP - IRG - All Finra Locations

FINRA • Rockville, MD

4d • Hybrid

About The Position

FINRA is dedicated to protecting investors and ensuring market integrity. As an independent, not-for-profit organization, we oversee brokerage firms and exchange markets, writing and enforcing rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the United States. Every day, we work to safeguard the investing public against fraud and bad practices, making us a vital force in maintaining trust and fairness in America's financial markets. The Opportunity Step into a high-impact role where you'll serve as a frontline defender of investors and market integrity. As a Senior Investigator in FINRA's Initial Review Group (IRG), you'll be at the epicenter of regulatory intelligence—the first to assess tips, complaints, and potential violations that could harm investors or destabilize markets. This isn't a desk job; it's detective work with purpose. You'll analyze complex regulatory issues, conduct strategic interviews, and make critical recommendations that determine whether matters warrant full investigation or escalation. If you thrive in fast-paced environments where every day brings new challenges and your decisions directly protect the investing public, this is your opportunity to make a difference.

Requirements

• Bachelor's degree or equivalent relevant experience
• Understanding of relevant FINRA rules and federal securities laws
• Knowledge of securities markets, member firm operations, and regulatory books and records
• Demonstrated track record of risk analysis and proactive risk identification
• Strong written and oral communication abilities—you can clearly articulate complex regulatory issues to diverse audiences
• Excellent analytical skills with the ability to assess and prioritize risks effectively
• Strong decision-making capabilities, particularly in identifying significant regulatory issues and their broader impact
• Proven ability to conduct investigations efficiently and manage time-sensitive matters in high-volume environments
• Exceptional time management and organizational skills with meticulous attention to detail
• Strong collaboration skills—comfortable working professionally with colleagues, management, member firms, and external parties
• Proficiency with Microsoft Office suite and computer-based investigative tools

Nice To Haves

• Advanced certifications or credentials in securities, compliance, or investigations
• Prior experience in regulatory investigations, broker-dealer compliance, or enforcement
• Experience working in fast-paced investigative or regulatory environments
• Familiarity with trading systems, surveillance tools, and financial analysis

Responsibilities

• Serve as a Regulatory Gatekeeper : Evaluate regulatory intelligence from multiple sources—tips, complaints, firm filings, arbitration cases, and referrals from other regulators—to quickly identify high-risk matters requiring immediate attention
• Conduct Strategic Investigations : Lead investigations of low-to-moderate complexity, gathering evidence from internal systems, firm records, and stakeholder interviews to build comprehensive case assessments
• Make Critical Decisions : Analyze jurisdiction, assess risk to investors and markets, and make well-reasoned recommendations for appropriate regulatory responses—whether that's escalating to cause exams, referring to other departments or agencies, or closing matters
• Master the Evidence : Review and analyze firm financial statements, trading records, correspondence, order management systems, and supervisory alerts to identify patterns, sales practice violations, and emerging risks
• Interview Key Players : Conduct and facilitate interviews with registered representatives, firm management, investors, and other parties to gather critical information and evidence
• Collaborate Across the Regulatory Landscape : Partner with internal departments and external regulatory agencies to share intelligence and coordinate responses to protect investors
• Document with Precision : Memorialize facts and evidence in clear, concise, well-organized reports that support your investigative findings and recommendations
• Stay Ahead of Trends : Proactively identify emerging industry practices, products, and procedures that may present new risks to investors
• Grow and Contribute : Take initiative on additional assignments, volunteer for projects beyond core responsibilities, and continue developing your investigative and regulatory expertise

Benefits

• Employees may be eligible for a discretionary bonus in addition to base pay.
• Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law.
• As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.
• FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off and Paid Leave FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year).
• Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule).
• Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment).
• Full-time employees receive nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level