Senior principal investigator cyber fraud group

The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled fraud investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; provides guidance to Member Supervision staff on their complex assignments, as well as consultative services for FINRA staff, related to cybersecurity fraud tactics, techniques, and practices. This is an advanced expert level, professional position, that requires an expanded skillset, ability to work independently with minimal guidance and supervision, while managing a complex caseload and leading, supervising, and training others. Beyond identifying cyber enabled fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives, this position proactively surveils the industry for cyber threat intelligence, analyzes that intelligence, and helps generate both tactical and strategic intelligence products.Essential Job Functions:

The Senior Principal Investigator is an expert in identifying risks, developing regulatory strategies and executing those examination strategies to completion to address those risks. The Senior Principal Investigator is expected 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 investigative 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 conducts 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.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.To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

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