Director, Investigations - Crypto Exam and Regulatory Conduct
About The Position
The Director of the Crypto Fraud & Market Abuse team is responsible for leading a highly skilled team of investigators that focus on detection, investigation and mitigation of crypto-related fraud and market abuse within the securities industry. The Director oversees the end-to-end execution of investigations related to crypto-related fraud and market abuse that require a range of onchain investigative techniques - including onchain research and analysis, blockchain analytics and forensics, smart contract auditing – as well as traditional investigative techniques such as review and assessment of open source intelligence, data analysis and analytics and the review of books and records. The Director also oversees initiatives focused on mitigation of crypto-fraud and market abuse threats within the securities industry, including engagement and intelligence sharing initiatives with member firms, regulatory partners, law enforcement and internal and external stakeholders. The Director serves as a subject matter expert for FINRA on crypto-related fraud and market abuse within the securities industry, providing guidance and strategic support to Investigations leadership, assisting in the development and delivery of training for FINRA staff and member firms, and speaking at industry and FINRA sponsored events to raise awareness of priority and emerging threats and effective practices for member firms to consider as part of their risk-based compliance programs. The Director maintains and cultivates team expertise in cryptocurrency, tokenization, blockchains and other onchain technologies as well as crypto asset compliance to address complex regulatory challenges; foundational knowledge includes familiarity with fraud schemes, money laundering tactics, and other threat vectors in the crypto space, including on/offchain vulnerabilities.
Requirements
- Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience.
- Minimum of ten (10) years of progressive experience in the securities, financial services, or financial regulatory industry, with substantive knowledge of regulatory compliance.
- Minimum of two (2) years of experience providing guidance to staff, and leading projects and initiatives, in an investigative, examination, or enforcement team environment.
- Demonstrated experience conducting or overseeing enforcement-oriented or regulatory investigations of varying complexity.
- Familiarity with investigative technologies, data analysis tools, and data strategies.
- 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.
- Expert knowledge of relevant FINRA rules, applicable SRO rules, the Securities Exchange Act of 1934, and federal securities laws, with responsibility for staying current on regulatory rules, practices, and developments and ensuring the team does the same.
- Substantive knowledge of securities markets, member firm operations, books and records, and firm business models, products, and services relative to the area(s) of misconduct.
- Comprehensive understanding of regulatory compliance issues and the risks associated with firm business lines and customer bases.
- Awareness of industry events, emerging trends, and regulatory developments pertinent to the area(s) of misconduct.
- Familiarity with FINRA's organizational structure, departmental mandates, and cross-functional and cross-organizational priorities, with the ability to apply that understanding to stakeholder engagement and investigative decision-making.
- Expert ability to build trust, align high-performing teams around common objectives, empower direct reports while exercising sound judgment, and foster a culture of accountability, innovation, open dialogue, and continuous improvement.
- Demonstrated ability to assess investigative strategy, interpret results of data analysis and investigative tools, make sound decisions, and progress complex matters to resolution.
- Highly advanced written and verbal communication skills, including outstanding interpersonal, presentation, and stakeholder engagement skills; ability to communicate effectively with staff in multiple geographic locations and represent FINRA professionally with external parties.
- Expert ability to liaise effectively with internal and external stakeholders; proactively build networks across RegOps and partner organizations; exercise sound judgment in determining when and how to engage, including when the Director's presence is needed in stakeholder meetings.
- Highly advanced organizational skills with excellent attention to detail; ability to manage multiple time-sensitive matters simultaneously and balance tactical execution with strategic direction.
- Expert ability to identify, prioritize, and escalate risk; recognize priority matters and advocate professionally to drive timely and foreseeable outcomes.
- Demonstrated ability to provide meaningful coaching, training, and development opportunities; seek and incorporate feedback from key stakeholders to continuously improve team performance.
- Demonstrated ability to be proactive, take initiative, anticipate management needs, respond with accountability and follow-through, and help drive timely solutions.
Nice To Haves
- Advanced degree (MBA, JD) or professional certification (e.g., CFE, ACAMS, CPA) strongly preferred.
Responsibilities
- Lead & Manage Investigations — Provide leadership, oversight, direction, and active day-to-day management of a team of investigators handling a set of misconduct matters; ensure investigations are thorough, strategically sound, and supported by clear and sufficient evidence using accepted and reliable methodologies; and provide guidance on investigative strategy.
- Drive Timely Case Resolution — Monitor case progress, aging, and staff caseloads; identify and correct caseload imbalances; prioritize high-risk and high-priority matters and ensure effective and efficient resolution.
- Review & Approve Work Product — Review and approve investigative findings, analyses, reports, dispositions, investigative summaries, and referrals to enforcement and external entities, ensuring all written work product is high-quality, professional, and persuasive.
- Identify, Escalate & Resolve Regulatory Issues — Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, emerging market trends, and management needs; develop and advocate for potential solutions in partnership with the Senior Director.
- Foster Cross-Functional Collaboration — Build and maintain effective working relationships with Enforcement and other RegOps partners; facilitate active information-sharing and a coordinated approach to investigations and regulatory outcomes.
- Develop People & Build Team Capability — Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; monitor performance and ensure the team has the needed resources to support continuous improvement; and foster a culture of accountability, innovation, and open dialogue.
- Support Program Strategy & Continuous Improvement — Lead and participate in developing and implementing program strategy, including business process improvements, technology enhancements, and resource allocation; initiate or recommend thematic reviews, sweeps, and other program initiatives; take initiative in identifying and advancing improvements that strengthen investigative execution and regulatory outcomes.
- Represent FINRA Externally — Engage professionally with external regulators and agencies, and member firms; facilitate responses to oversight and access requests; represent FINRA at relevant industry events and stakeholder meetings.
- Demonstrate FINRA’s values.
- Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.
Benefits
- Comprehensive health, dental and vision insurance
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement
- Commuter benefits
- Adoption assistance
- Backup family care
- Surrogacy benefits
- Employee assistance
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Director
