Senior Principal Investigator (Financial Regulation)

Location: Rockville, Maryland, United States; hybrid work environment with defined in-person presence requirements. Additional job posting locations include Jericho, Denver, Chicago, Boston, Boca Raton, Plano, Tysons, Jersey City, Woodbridge, Washington, Philadelphia, New York, and Los Angeles.

Company

hirify.global is a securities regulator focused on investor protection and market integrity.

What you will do

• Lead and independently conduct the highest-risk and most complex investigations involving novel rules, multiple respondents, sophisticated products, litigation risk, and urgent activity.
• Develop factual records through document review, data analysis, written correspondence, verbal communication, and on-the-record testimony.
• Perform advanced data analysis, explain methodologies and findings, and recommend new analytical techniques.
• Collaborate with Enforcement, Risk and Intelligence, Examinations, and other Regulatory Operations partners to support potential charges and sanctions.
• Prepare investigative reports, referrals, recommendations, and testimony while identifying and escalating emerging regulatory risks.
• Provide subject-matter expertise, mentor investigators, deliver training, and lead regulatory initiatives and thematic reviews.

Requirements

• Bachelor’s degree in Accounting, Finance, Economics, Business Administration, or a related field, or an equivalent combination of education and relevant experience.
• At least eight years of progressive experience in securities, financial services, or financial regulation, including substantive regulatory compliance knowledge.
• Experience leading investigative, examination, enforcement, or regulatory projects and conducting investigations of varying complexity.
• Expert knowledge of relevant hirify.global and SRO rules, the Securities Exchange Act of 1934, federal securities laws, securities markets, and member firm operations.
• Expert investigative judgment, communication, analytical, collaboration, prioritization, risk identification, mentorship, and training skills.
• Ability to work independently with minimal supervision, manage multiple time-sensitive matters, provide testimony, and travel when required.

Nice to have

• Advanced degree such as an MBA or JD.
• Professional certification such as CFE, ACAMS, or CPA.
• Experience with investigative technologies, data analysis tools, and data strategies.

Culture & Benefits

• Hybrid collaboration in support of investor protection and market integrity.
• Health, dental, vision, life, disability, long-term care, and legal insurance options.
• 401(k) plan with company match and an additional hirify.global-funded retirement contribution.
• Paid time off, personal and sick days, paid holidays, parental leave, bereavement leave, military leave, and volunteer service days.
• Tuition reimbursement, commuter benefits, adoption assistance, backup family care, wellness programs, and employee assistance.
• Employment is subject to hirify.global investment-account restrictions, financial disclosures, confidentiality obligations, and its Code of Conduct.

Hiring process

• Applications are accepted on an ongoing basis.
• Applicants must submit an application through the hirify.global careers site.