Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of the Crypto Exam and Regulatory Conduct team at FINRA, you lead a highly skilled investigations team 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 investigative techniques (on-chain research and analysis, blockchain analytics and forensics, smart contract auditing) and traditional methods (open source intelligence review, data analysis, books and records examination). You serve as a subject matter expert on crypto-related regulatory challenges, provide strategic guidance to investigations leadership, and represent 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 evidence using accepted methodologies
• Monitor case progress, aging, and staff caseloads; prioritize high-risk and high-priority matters to 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 and persuasive
• Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, and emerging market trends; develop and advocate for solutions in partnership with the Senior Director
• Build and maintain effective working relationships with Enforcement and other RegOps partners to facilitate information-sharing and coordinated investigative approaches
• Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; 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 thematic reviews and sweeps
• Engage professionally with external regulators, agencies, and member firms; facilitate responses to oversight and access requests; represent FINRA at industry events and stakeholder meetings
• Maintain and cultivate team expertise in cryptocurrency, tokenization, blockchains, on-chain technologies, and crypto asset compliance, including foundational knowledge of fraud schemes, money laundering tactics, and 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)
• Minimum 10 years of progressive experience in securities, financial services, or financial regulatory industry with substantive knowledge of regulatory compliance
• Minimum 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
• Expert knowledge of relevant FINRA rules, applicable SRO rules, the Securities Exchange Act of 1934, and federal securities laws
• Substantive knowledge of securities markets, member firm operations, books and records, and firm business models relative to areas of misconduct
• Comprehensive understanding of regulatory compliance issues and risks associated with firm business lines and customer bases
• Highly advanced written and verbal communication skills, including interpersonal, presentation, and stakeholder engagement abilities
• Expert ability to build trust, align high-performing teams around common objectives, and empower direct reports while exercising sound judgment
• Demonstrated ability to assess investigative strategy, interpret results of data analysis and investigative tools, and progress complex matters to resolution
• Expert ability to identify, prioritize, and escalate risk; recognize priority matters and advocate professionally to drive timely outcomes
• 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

Nice to have

• Advanced degree (MBA, JD) or professional certification such as CFE, ACAMS, or CPA
• Awareness of industry events, emerging trends, and regulatory developments pertinent to areas of misconduct

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
• Discretionary bonus in addition to base pay
• Comprehensive health, dental, and vision insurance
• Life, accidental death and dismemberment, supplemental life, short- and long-term disability, long-term care, business travel accident, and legal insurance
• Immediate participation and vesting in a 401(k) plan with company match and eligibility for additional FINRA-funded retirement contribution
• Tuition reimbursement and commuter benefits
• 15 days of paid time off, 5 personal days, and 9 sick days annually (pro-rated in first year)
• Nine paid holidays
• Two volunteer service days annually
• Military leave, jury duty leave, bereavement leave, voting and election official leave, care of family member leave (after 90 days), and childbirth and parental leave (after 90 days)
• 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 self-regulatory organization dedicated to investor protection and market integrity. The organization conducts examinations and enforcement activities within the securities industry and regulates member firms and their employees.