Principal Investigator (Securities Regulation)

Location: Rockville, MD, United States; hybrid work environment with defined in-person presence requirements. Some travel and extended hours may be required.

Company

hirify.global is a securities regulator focused on investor protection, market integrity, and oversight of member firms and securities markets.

What you will do

• Lead complex, high-risk investigations involving multiple respondents, products, and regulatory issues.
• Build factual records through document review, data analysis, correspondence, testimony, and evidence assessment.
• Investigate suitability, Reg BI, recommendation-related misconduct, reporting and disclosure obligations, communications violations, OBA/PST violations, and financial exploitation of specified adults.
• Prepare reports, referrals, recommendations, and litigation testimony while communicating findings to firms, regulators, attorneys, and other stakeholders.
• Identify emerging risks and trends, contribute to thematic reviews and analytics initiatives, and support continuous improvement.
• Provide subject-matter guidance, review work products, mentor investigators, and participate in compliance and education events.

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 seven years of progressive experience in securities, financial services, or financial regulation is required.
• Experience conducting enforcement-oriented, regulatory, or financial investigations of varying complexity.
• Advanced knowledge of hirify.global and SRO rules, the Securities Exchange Act of 1934, federal securities laws, securities markets, member-firm operations, and regulatory compliance risks.
• Advanced investigative judgment, data-analysis, communication, prioritization, risk-identification, collaboration, and mentoring skills.
• Familiarity with investigative technologies, analytical tools, data strategies, hirify.global applications, and associated data.

Nice to have

• MBA, JD, or professional certification such as CFE, ACAMS, or CPA.
• Experience with analytical platforms and data-driven decision-making.

Culture & Benefits

• Hybrid work environment with defined in-person attendance requirements.
• Health, dental, vision, disability, life, and other insurance coverage.
• 401(k) plan with company match and an additional hirify.global-funded retirement contribution.
• Paid time off, personal and sick days, paid holidays, parental and family-care leave, and volunteer service days.
• Tuition reimbursement, commuter benefits, wellness programs, backup family care, adoption assistance, and other employee-support benefits.
• Employees must comply with hirify.global investment-account disclosure and securities restrictions, including moving reportable accounts to firms that provide an electronic data feed.

Hiring process

• Applications are accepted on an ongoing basis.
• Selected employees must execute hirify.global's Employee Confidentiality and Invention Assignment Agreement and comply with the Code of Conduct.