Senior Principal Investigator, Crypto Asset Investigations Team

Found in: Talent US C2 - 2 weeks ago

Boston, United States finra Full time

The Senior Principal Investigator on the Crypto Asset Investigations (CAI) team, utilizing their significant crypto and/or fintech investigative and risk management experience, independently conducts advanced high complexity crypto-related review and special investigations involving FINRA member firms and/or affiliates. This team of Crypto Asset Investigation Specialists provides consulting support to firm exam teams during all phases of relevant reviews, which includes conducting investigations, advising on examinations, providing staff training and other support, informing industry and external stakeholders, monitoring the area of specialization, assisting risk monitoring and participating in special projects. The Senior Principal Investigator regularly collaborates with relevant stakeholders across the enterprise, provides guidance related to broker-dealer involvement in crypto assets, proactively surveils the industry and identifies fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. This is an advanced expert level, professional position, that requires an expanded skillset in the identification of crypto asset and relevant fraud risks and threats, and proven ability to execute responsibilities with minimal supervision, while managing a complex caseload.

Essential Job Functions:

The Senior Principal Investigator is an expert in identifying risks, developing regulatory strategies, and executing those investigative strategies to completion to address those risks.  The Senior Principal Investigator draws from their proven experience in crypto and/or fintech investigations and risk management to handle examinations that present complex circumstances and unique regulatory challenges. The Senior Principal Investigator collaborates with Risk Monitoring Staff, Firm Examination teams, Cause Examinations, and Enforcement Investigators & Attorneys, as necessary.   

 

The Senior Principal Investigator comprehensively documents strategies, written requests to representatives and Firms, investigative steps, and investigate results, including referrals to Enforcement and outside agencies.  The Senior Principal Investigator acts as a liaison and subject matter expert for various stakeholders throughout FINRA. The Senior Principal Investigator executes those responsibilities with minimal supervision. 

 

  • Independently leads and conducts complex investigations of the highest risk and complexity. 

  • Expert knowledge of internal and external resources. 

  • Independently conducts risk identification and risk reviews of the highest risk and complexity. 

  • Independently conducts consultative tasks of high complexity with minimal direct supervision. 

  • Develops and provides staff training in area of specialty. 

  • Leads on the record interviews, in collaboration with Enforcement, as needed. 

  • Serves as an expert in area of specialty for FINRA staff 

  • Proactively identifies notable and emerging trends and with management recommends guidelines as it relates to area(s) of expertise, or FINRA initiatives. 

 

Education/Experience Requirements:

  • Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred. 

  • Significant experience in an investigative or risk management function within the crypto and/or fintech sectors. 

  • Knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience preferred. 

  • Knowledge of the securities markets and member firm operations and its books and records preferred. 

  • 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, Washington, DC, CO, HI, New York, NY 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.

California: Minimum Salary $124,300, Maximum Salary $235,500

Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700

Colorado/Hawaii: Minimum Salary $108,200, Maximum Salary $196,200
New York, NY:   Minimum Salary $129,800, Maximum Salary $235,500
Washington State: Minimum Salary $108,200, Maximum Salary $225,700

#LI-Hybrid

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