Director, Investigations - Crypto Exam and Regulatory Conduct
The Director of the Crypto Exam and Regulatory Conduct team oversees the end-to-end execution of investigations related to crypto-related investor protection risks, market conduct rules and regulatory obligations 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 of the Crypto Exam and Regulatory Conduct team oversees initiatives focused on crypto-related investor protection risks, market conduct rules and other regulatory obligations within the securities industry, including engagement and intelligence sharing initiatives with member firms, regulatory partners, law enforcement and internal and external stakeholders.
The Director of the Crypto Exam and Regulatory Conduct serves as a subject matter expert for FINRA on crypto-related investor protection risks, market conduct risks and other regulatory obligations within the securities industry, providing guidance 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 areas of focus and effective practices for member firms to consider as part of their risk-based compliance programs.
The Director of the Crypto Exam and Regulatory Conduct 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.
Essential Job Functions:
- 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.
Education/Experience Requirements:
- Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience. Advanced degree (MBA, JD) or professional certification (e.g., CFE, ACAMS, CPA) strongly preferred.
- 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.
Knowledge Requirements:
- 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.
Skills Requirements:
- Leadership: 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.
- Investigative Judgment: Demonstrated ability to assess investigative strategy, interpret results of data analysis and investigative tools, make sound decisions, and progress complex matters to resolution.
- Communication: 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.
- Collaboration: 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.
- Prioritization & Organization: Highly advanced organizational skills with excellent attention to detail; ability to manage multiple time-sensitive matters simultaneously and balance tactical execution with strategic direction.
- Risk Identification: Expert ability to identify, prioritize, and escalate risk; recognize priority matters and advocate professionally to drive timely and foreseeable outcomes.
- People Development: Demonstrated ability to provide meaningful coaching, training, and development opportunities; seek and incorporate feedback from key stakeholders to continuously improve team performance.
- Initiative & Management Awareness: Demonstrated ability to be proactive, take initiative, anticipate management needs, respond with accountability and follow-through, and help drive timely solutions.
Working Conditions:
- Hybrid work environment with defined in-person presence requirements.
- Extended hours and some travel may be required.
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 $187,000, Maximum Salary $281,000
San Francisco, CA: Minimum Salary $195,000, Maximum Salary $293,000
CO/FL/TX: Minimum Salary $134,400, Maximum Salary $260,400
IL/PA: Minimum Salary $147,600, Maximum Salary $286,500
MA/MD/VA/Washington, DC: Minimum Salary $154,400, Maximum Salary $299,600
NY/NJ: Minimum Salary $154,400, Maximum Salary $312,600
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes 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. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
Important 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.
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