Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of the Crypto Exam and Regulatory Conduct team at FINRA, you lead a team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. You oversee end-to-end investigations using both on-chain investigative techniques-including blockchain analytics, forensics, and smart contract auditing-and traditional methods such as open source intelligence review and books and records examination. You serve as a subject matter expert on crypto-related regulatory risks, guide FINRA leadership, develop training programs, 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.
• Monitor case progress, aging, and caseloads; prioritize high-risk and high-priority matters and ensure effective resolution.
• Review and approve investigative findings, analyses, reports, dispositions, 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 potential solutions.
• Build and maintain effective working relationships with Enforcement and other RegOps partners; facilitate active information-sharing and coordinated investigation approaches.
• Mentor, coach, and develop staff through performance feedback and targeted assignments; monitor performance and foster a culture of accountability, innovation, and open dialogue.
• Lead and participate in developing program strategy, including business process improvements and technology enhancements; initiate thematic reviews and sweeps.
• Engage professionally with external regulators, agencies, and member firms; 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 knowledge of fraud schemes, money laundering tactics, and on/off-chain vulnerabilities.

What you bring

• Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent education and experience; advanced degree (MBA, JD) or professional certification (CFE, ACAMS, CPA) strongly preferred.
• 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 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 required upon hire or within 16 months of start date.
• Expert knowledge of 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 misconduct areas.
• Comprehensive understanding of regulatory compliance issues and risks associated with firm business lines and customer bases.
• Expert leadership ability: build trust, align high-performing teams, empower direct reports, and foster accountability and innovation.
• Demonstrated investigative judgment: assess strategy, interpret data analysis, make sound decisions, and progress complex matters to resolution.
• Highly advanced written and verbal communication skills, including presentation and stakeholder engagement abilities.
• Expert ability to collaborate with internal and external stakeholders; build networks across RegOps and partner organizations.
• Highly advanced organizational skills with excellent attention to detail; manage multiple time-sensitive matters simultaneously.
• Expert ability to identify, prioritize, and escalate risk; recognize priority matters and drive timely outcomes.
• Demonstrated ability to provide meaningful coaching and development; seek and incorporate feedback to improve team performance.
• Demonstrated ability to be proactive, take initiative, anticipate management needs, and drive timely solutions.

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 skill set, experience, education, and market considerations.
• Discretionary bonus in addition to base pay.
• Comprehensive health, dental, and vision insurance; basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life insurance; short- and long-term disability; long-term care; business travel accident; disability and legal insurance.
• Immediate participation and vesting in 401(k) plan with company match and eligibility for additional FINRA-funded retirement contribution.
• Tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• 15 days paid time off, 5 personal days, and 9 sick days (pro-rated in first year); 9 paid holidays for full-time employees.
• Two volunteer service days per year, 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).
• Hybrid work environment with defined in-person presence requirements.

About FINRA

FINRA is a securities industry regulator dedicated to investor protection and market integrity. The organization regulates member firms and their employees across the U.S. securities industry.