Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of the Crypto Exam and Regulatory Conduct team at FINRA, you lead a skilled team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. You oversee end-to-end execution of investigations using both on-chain techniques (blockchain analytics, forensics, smart contract auditing, on-chain research) and traditional methods (open source intelligence review, data analysis, books and records examination). You serve as FINRA's subject matter expert on crypto risks and regulatory obligations, guiding leadership, developing staff and member firm training, and representing FINRA at industry events.

What you'll do

• Lead and manage a team of investigators handling misconduct matters, ensuring investigations are thorough, strategically sound, and supported by clear and sufficient evidence using accepted methodologies.
• Monitor case progress, aging, and staff caseloads; identify and correct imbalances; prioritize high-risk and high-priority matters and ensure effective and efficient resolution.
• Review and approve investigative findings, analyses, reports, dispositions, investigative summaries, and referrals to enforcement and external entities, ensuring all work product is high-quality, professional, and persuasive.
• 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.
• 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.
• Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; monitor performance and ensure the team has needed resources to support continuous improvement; foster a culture of accountability, innovation, and open dialogue.
• 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.
• 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.
• Maintain and cultivate team expertise in cryptocurrency, tokenization, blockchains, on-chain technologies, and crypto asset compliance; build foundational knowledge of fraud schemes, money laundering tactics, and other threat vectors in the crypto space.

What you bring

• 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 (CFE, ACAMS, CPA) strongly preferred.
• Minimum of ten years of progressive experience in the securities, financial services, or financial regulatory industry with substantive knowledge of regulatory compliance.
• Minimum of two 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.
• Expert knowledge of relevant FINRA rules, applicable SRO rules, the Securities Exchange Act of 1934, and federal securities laws; responsibility for staying current on regulatory rules, practices, and developments.
• Substantive knowledge of securities markets, member firm operations, books and records, and firm business models, products, and services relative to areas of misconduct.
• Comprehensive understanding of regulatory compliance issues and risks associated with firm business lines and customer bases.
• Expert leadership ability to build trust, align high-performing teams around common objectives, empower direct reports while exercising sound judgment, and foster a culture of accountability and innovation.
• 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.
• Expert ability to liaise effectively with internal and external stakeholders; proactively build networks across RegOps and partner organizations.
• 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 outcomes.
• Demonstrated ability to provide meaningful coaching, training, and development opportunities and incorporate feedback from key stakeholders to continuously improve team performance.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of the start date of the assigned SIE training cohort.

What we offer

• Salary range varies by location: Los Angeles, CA $187,000-$281,000; San Francisco, CA $195,000-$293,000; IL/PA $147,600-$286,500; MA/MD/VA/Washington, DC $154,400-$299,600; NY/NJ $154,400-$312,600. Actual compensation based on candidate's skill set, level of experience, education, and market considerations.
• Discretionary bonus in addition to base pay.
• Comprehensive health, dental, and vision insurance.
• Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, short- and long-term disability, long-term care, business travel accident, and legal.
• Immediate participation and vesting in 401(k) plan with company match and eligibility for additional FINRA-funded retirement contribution.
• 15 days of paid time off, 5 personal days, and 9 sick days annually (pro-rated in the first year), plus 9 paid holidays.
• Two volunteer service days per year.
• Paid military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (available after 90 days), and childbirth and parental leave (available after 90 days).
• Tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Hybrid work environment with defined in-person presence requirements.

About FINRA

FINRA is a securities regulator overseeing member firms and protecting investors and market integrity. The role requires compliance with FINRA's Code of Conduct regarding investment restrictions and financial disclosures, and all new employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy.