Senior Principal Investigator, VAST - All FINRA Locations

The Vulnerable Adults and Seniors Team (VAST) is a specialized unit within FINRA's National Cause and Financial Crimes Program (NCFC). VAST is charged with investigating financial exploitation and abuse of seniors and vulnerable adults, including individuals with diminished capacity or cognitive impairment. The Senior Principal Investigator executes functions in support of the VAST's mission, including, but not limited to, independently conducting and completing investigations requiring advanced to expert knowledge involving potential Elder Financial Exploitation (EFE), rules and regulations, and FINRA systems, policies and procedures. The Senior Principal Investigator works collaboratively with all levels of management, staff and internal/external constituents to execute regulatory strategy and identify emerging issues.

Essential Job Functions:

• Independently leads VAST investigations of the highest risk and complexity.
• Independently conducts risk reviews of the highest risk and complexity and contributes to expanded reviews.
• Independently conducts consultation tasks of high complexity with minimal supervision.
• Conducts tasks related to consultations that may include, but is not limited to inquiries received from Risk Monitoring, Examinations, and Enforcement staff with minimal supervision.
• Conducts examination tasks that may include, but is not limited to: (1) reviews conducted in collaboration with Member Supervision examination staff (2) reviews conducted on matters originated by specialist team (3) reviews conducted in relation to internal/external tips (4) reviews conducted related to referrals.
• Participates in On-The-Record interviews of relevant parties with minimal supervision, including collaboration with the Department of Enforcement. 
• Serves as a VAST risk resource with advanced to expert level knowledge and provides guidance to FINRA staff.
• Conducts tasks related to member firm/investor education that may include, but is not limited to (1) serving on or leading conference panels (2) providing training as part of seminars, boot camps, and district compliance events. 
• Conducts tasks related to the creation and delivery of staff training that may include, but is not limited to district office training events, podcasts, LMS specific training. 
• Assists other VAST and non-VAST investigators to identify misconduct and with financial crime related topics and issues.
• Regularly leads or co-leads initiatives, special or regulatory projects related to area(s) of expertise.
• Proactively identifies notable and emerging trends and with management recommends guidelines as it relates to Firm Groupings/Sub-Groupings, area(s) of expertise, or FINRA initiatives.

Education/Experience Requirements:

• Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.
• Expert knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
• Expert knowledge of the securities markets and member firm operations and its books and records.
• Highly advanced written and verbal communications skills.
• Highly advanced ability to initiate and complete high quality reviews and investigations independently, including an ability to work quickly on multiple time-sensitive matters.
• Highly advanced organizational skills with exceptional attention to detail.
• Expert proficiency using computer programs with the full suite of Office software applications.
• Highly effective at building and managing relationships.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $106,400, Maximum Salary $200,200

CO/HI/MN/VT*: Minimum Salary $92,500, Maximum Salary $166,800

IL*: Minimum Salary $101,800, Maximum Salary $183,900

Jersey City, NJ/NY, NY: Minimum Salary $111,000, Maximum Salary $200,200

MD/Washington, DC: Minimum Salary $106,400 Maximum Salary $191,800

WA: Minimum Salary $92,500, Maximum Salary $191,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-H