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About the Role

This Senior Principal Investigator, Crypto Asset Investigations – Blockchain Technology serves as a FINRA expert, applying specialized knowledge of crypto assets, blockchains, smart contracts and other onchain technologies, and crypto asset compliance to address complex regulatory challenges. Potential investigation types include money laundering, onchain vulnerabilities and cybersecurity incidents, fraud, and related supervisory and operational control deficiencies. Investigations will involve independently conducting onchain transaction tracing, wallet attribution analysis, smart contract auditing, detection of onchain vulnerabilities and threats, and cross-chain analysis using blockchain forensics platforms.

Responsibilities

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.

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.
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.
Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
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.
Employees must comply with 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.

Skills

Crypto asset investigations
Blockchain technology
Smart contracts
Onchain analysis
Blockchain forensics
Transaction tracing
Wallet attribution
Smart contract auditing
Vulnerability detection
Threat detection
Cross-chain analysis
Money laundering investigations
Cybersecurity incident investigations
Fraud investigations
Regulatory compliance
Open-source intelligence
Computer programs
Data analysis tools
Office suite applications

Location

Los Angeles, CA
San Francisco, CA
CO
FL
TX
IL
PA
MA
MD
VA
Washington, DC
NY
NJ

Work Type

Hybrid
Full-time

Experience Level

Senior
Principal Investigator

Education Level

Bachelor's degree or equivalent relevant experience
Advanced degree or law degree preferred
Professional certifications (e.g., blockchain certifications, CAMS, CFE) valued
FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification

Salary/Compensations

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

Benefits

Discretionary bonus
Overtime pay
Comprehensive health, dental and vision insurance
Basic life insurance
Accidental death and dismemberment insurance
Supplemental life insurance
Spouse/domestic partner and dependent life insurance
Spouse/domestic partner and dependent accidental death and dismemberment insurance
Short-term disability insurance
Long-term disability insurance
Long-term care insurance
Business travel accident insurance
Disability insurance
Legal insurance
Immediate participation and vesting in a 401(k) plan with company match
FINRA-funded retirement contribution
Tuition reimbursement
Commuter benefits
Adoption assistance
Backup family care
Surrogacy benefits
Employee assistance programs
Wellness programs
15 days of paid time off
5 personal days
9 sick days
Two volunteer service days
Military leave
Jury duty leave
Bereavement leave
Voting and election official leave
Care of a family member leave
Childbirth and parental leave
Nine paid holidays

About the Company

FINRA is a self-regulatory organization that oversees the brokerage industry in the United States.
FINRA's mission is investor protection and market integrity.

Equal Opportunity

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.