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 the 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, and books and records examination). You serve as a subject matter expert on crypto-related risks within the securities industry, providing guidance to leadership, developing training for staff and member firms, 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 and reliable methodologies
• Monitor case progress, aging, and staff caseloads to identify imbalances, prioritize high-risk matters, and ensure effective and efficient resolution
• Review and approve investigative findings, analyses, reports, dispositions, investigative summaries, and referrals to enforcement and external entities to ensure all written 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, developing and advocating for solutions in partnership with the Senior Director
• Build and maintain effective working relationships with Enforcement and other RegOps partners, facilitating 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, fostering a culture of accountability, innovation, and open dialogue
• Lead and participate in developing and implementing program strategy, including business process improvements, technology enhancements, resource allocation, and thematic reviews or sweeps
• Engage professionally with external regulators, agencies, and member firms, facilitating responses to oversight and access requests and representing FINRA at relevant industry events and stakeholder meetings
• Maintain and cultivate team expertise in cryptocurrency, tokenization, blockchains, and other on-chain technologies, as well as crypto asset compliance, including foundational knowledge of fraud schemes, money laundering tactics, and other threat vectors in the crypto space

What you bring

• A Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or an equivalent combination of education and relevant experience (an advanced degree such as an MBA or JD, or a professional certification such as CFE, ACAMS, or CPA is strongly preferred)
• A minimum of ten years of progressive experience in the securities, financial services, or financial regulatory industry with substantive knowledge of regulatory compliance
• A 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
• Substantive knowledge of securities markets, member firm operations, books and records, and firm business models, products, and services relative to areas of misconduct
• A 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 areas of misconduct
• Familiarity with FINRA's organizational structure, departmental mandates, and cross-functional and cross-organizational priorities
• 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, make sound decisions, and progress complex matters to resolution
• Highly advanced written and verbal communication skills, including outstanding interpersonal, presentation, and stakeholder engagement skills
• Expert ability to liaise effectively with internal and external stakeholders and proactively build networks across RegOps and partner organizations
• Highly advanced organizational skills with excellent attention to detail and the ability to manage multiple time-sensitive matters simultaneously
• Expert ability to identify, prioritize, and escalate risk and recognize priority matters
• Demonstrated ability to provide meaningful coaching, training, and development opportunities
• Demonstrated ability to be proactive, take initiative, anticipate management needs, and respond with accountability and follow-through
• FINRA Securities Industry Essentials (SIE) certification or an acceptable industry equivalent certification is 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
• Eligibility for a discretionary bonus in addition to base pay
• Comprehensive health, dental, and vision insurance
• Additional insurance including 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 disability and legal insurance
• 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
• 15 days of paid time off, 5 personal days, and 9 sick days annually (pro-rated in the first year)
• Nine paid holidays per year
• Two volunteer service days annually (based on full-time schedule)
• Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
• Employee wellness programs including adoption assistance, backup family care, surrogacy benefits, and employee assistance
• Hybrid work environment with defined in-person presence requirements

About FINRA

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc., a securities regulator focused on investor protection and market integrity. FINRA regulates member firms and requires employees to comply with a Code of Conduct that includes investment restrictions and financial disclosures.