Senior Principal Investigator in Crypto Asset Investigations (CAI)

FINRA: Senior Principal Investigator in Crypto Asset Investigations (CAI)

The Senior Principal Investigator in Crypto Asset Investigations (CAI) conducts high-complexity investigations into crypto asset activities of FINRA member firms and their associated persons; provides subject matter expertise to Regulatory Operations staff on crypto asset matters and initiatives; assists in the development and delivery of crypto asset training for FINRA staff and the securities industry; and assist in external engagements and intelligence sharing initiatives to raise awareness of emerging and priority threats related to crypto asset and blockchain technology, and highlight related challenges and effective practices.

This is an advanced expert level, professional role that requires an expanded skill set, and the ability to work independently with minimal guidance and supervision while managing and leading a complex caseload and other priority initiatives.

• Independently leads investigations specific to tokenized securities and other crypto asset activities of FINRA member firms and associated persons.
• Timely document investigative strategies, findings, and results; and provide recommendations based on identified findings.
• Serves as a subject matter expert for FINRA staff across the organization on crypto-asset-related matters and initiatives, as well as on external engagements, including as a public speaker at FINRA and industry-sponsored events.
• Participating in or leading the development and delivery of training on tokenized securities, crypto assets, and blockchain technology for FINRA staff and external stakeholders.
• Participates in industry engagement initiatives focused on effective practices, common challenges, emerging trends and other regulatory considerations related to broker-dealer activity in tokenized securities, crypto assets and blockchain technology.
• Proactively identify and share intelligence with internal and external stakeholders on emerging threats and trends involving tokenized securities, crypto assets and blockchain technology activities of broker-dealers and associated persons.
• Demonstrates FINRA’s values, always acting with integrity and professionalism.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements

• Bachelor's degree or equivalent relevant experience required; advanced degree or law degree preferred; professional certifications (e.g., blockchain certifications, CAMS, CFE) valued.
• Expertise in onchain investigations using blockchain analytics and forensics platforms and other open-source intelligence, including transaction tracing, and wallet attribution.
• Advanced knowledge of crypto assets, blockchains and onchain technology.
• Advanced knowledge of common schemes and threats that leverage crypto assets and blockchain technology, as well as onchain obfuscation tactics.
• Exceptional written and verbal communication skills; ability to explain complex crypto concepts to non-technical audiences.
• Ability to work independently on multiple time-sensitive matters with minimal supervision.
• Expert proficiency with computer programs, data analysis tools, and Office suite applications.
• Strong relationship management and collaboration skills.

Work Conditions

• Hybrid work environment, with a defined in-person presence requirement of 3 days in the office per week.

Salary ranges by location

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations.

Los Angeles, CA: Minimum Salary $137,000, Maximum Salary, $206,000

San Francisco, CA: Minimum Salary $143,000.00, Maximum Salary $215,000

CO/FL/TX: Minimum Salary $114,200, Maximum Salary $207,200

IL/PA: Minimum Salary $125,900, Maximum Salary $228,000

MA/MD/VA/Washington, DC: Minimum Salary $131,200, Maximum Salary $238,300

NY/NJ: Minimum Salary $131,200, Maximum Salary $248,700

Additional Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genet