Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of the Crypto Exam and Regulatory Conduct team at FINRA, you lead a highly 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 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 review). You serve as a subject matter expert on crypto-related investor protection risks and market conduct risks within the securities industry, providing strategic guidance to leadership, developing training for FINRA staff and member firms, and speaking at industry events.

What you'll do

• Provide leadership, oversight, and day-to-day management of an investigations team handling misconduct matters, ensuring investigations are thorough, strategically sound, and supported by clear evidence using accepted methodologies.
• Monitor case progress, aging, and staff caseloads to identify 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 to ensure all work product is high-quality, professional, and persuasive.
• Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, and emerging market trends; develop and advocate for potential solutions in partnership with the Senior Director.
• Build and maintain effective working relationships with Enforcement and other RegOps partners to 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 to 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, 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, including foundational knowledge of fraud schemes, money laundering tactics, and 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.
• A minimum of 10 years of progressive experience in the securities, financial services, or financial regulatory industry with substantive knowledge of regulatory compliance.
• A minimum of 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, 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 areas of misconduct.
• 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, empower direct reports, 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 and 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.

Nice to have

• An advanced degree such as an MBA or JD, or a professional certification such as CFE, ACAMS, or CPA.

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 skill set, experience, education, and market considerations.
• A discretionary bonus in addition to base pay for eligible employees.
• Comprehensive health, dental, and vision insurance, plus 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, disability and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match and eligibility for an additional FINRA-funded retirement contribution.
• Tuition reimbursement and commuter benefits.
• Employee wellness support including adoption assistance, backup family care, surrogacy benefits, and employee assistance programs.
• 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.
• 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 self-regulatory organization dedicated to investor protection and market integrity within the securities industry. The organization oversees member firms' compliance with regulatory rules and conducts investigations into misconduct matters across the financial services sector.