Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of Investigations for FINRA's Crypto Exam and Regulatory Conduct team, 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 review). You serve as FINRA's subject matter expert on crypto regulatory risks, provide strategic guidance to leadership, develop training for staff and member firms, and engage with regulatory partners and law enforcement on intelligence sharing and compliance initiatives.

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; identify and correct imbalances; 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, professional, and persuasive.
• Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, emerging market trends, and management needs; develop and advocate for solutions in partnership with the Senior Director.
• Build and maintain effective working relationships with Enforcement and other RegOps partners; facilitate 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 for 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.
• Engage professionally with external regulators, agencies, and member firms; facilitate responses to oversight and access requests; represent FINRA at industry events and stakeholder meetings.

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 10 years of progressive experience in the 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.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent, required upon hire or within 16 months of the start date of the assigned SIE training cohort.
• 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.
• Substantive knowledge of securities markets, member firm operations, books and records, and firm business models, products, and services relative to the area of misconduct.
• Comprehensive understanding of regulatory compliance issues and risks associated with firm business lines and customer bases.
• Awareness of industry events, emerging trends, and regulatory developments pertinent to the area of misconduct.
• Familiarity with FINRA's organizational structure, departmental mandates, and cross-functional priorities, with the ability to apply that understanding to stakeholder engagement and investigative decision-making.
• Expert ability to build trust, align high-performing teams around common objectives, empower direct reports, and foster a culture of accountability, innovation, open dialogue, and continuous improvement.
• 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 and represent FINRA professionally with external parties.
• 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.
• 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 and foreseeable outcomes.
• Demonstrated ability to provide meaningful coaching, training, and development opportunities; seek and incorporate feedback from key stakeholders to continuously improve team performance.
• Demonstrated ability to be proactive, take initiative, anticipate management needs, respond with accountability and follow-through, and help 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 is based on candidate skill set, level of 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, and spouse/domestic partner and dependent life insurance; 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.
• 15 days of paid time off, 5 personal days, and 9 sick days, plus 9 paid holidays (pro-rated in the first year). Two volunteer service days based on full-time schedule.
• Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (after 90 days), and childbirth and parental leave (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.
• Extended hours and some travel may be required.

About FINRA

FINRA is a self-regulatory organization that regulates securities broker-dealers and protects investors and market integrity. FINRA's Investigations team enforces regulatory compliance across the securities industry.