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 techniques (blockchain analytics, forensics, smart contract auditing, on-chain research) and traditional methods (open source intelligence review, data analysis, books and records examination). You serve as FINRA's subject matter expert on crypto-related regulatory risks, providing strategic guidance to leadership, developing training, and speaking 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 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 high-quality, professional work product.
• 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 information-sharing and coordinated investigations.
• Mentor, coach, and develop staff through performance feedback, training opportunities, 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, technology enhancements, and resource allocation; initiate thematic reviews and program initiatives to strengthen investigative execution.
• Engage professionally with external regulators, agencies, and member firms; facilitate responses to oversight and access requests and represent FINRA at industry events and stakeholder meetings.
• Maintain and cultivate team expertise in cryptocurrency, tokenization, blockchains, on-chain technologies, and crypto asset compliance; ensure 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.
• 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 an acceptable industry equivalent certification 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.
• Substantive knowledge of securities markets, member firm operations, books and records, and firm business models, products, and services.
• 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 crypto and securities misconduct.
• Expert leadership ability to build trust, align high-performing teams around common objectives, empower direct reports, and foster accountability and innovation.
• Demonstrated investigative judgment to assess strategy, interpret data analysis results, and progress complex matters to resolution.
• Highly advanced written and verbal communication skills, including strong interpersonal, presentation, and stakeholder engagement abilities.
• Expert ability to liaise with internal and external stakeholders and build networks across RegOps and partner organizations.
• Highly advanced organizational skills with excellent attention to detail; 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 proactivity, initiative, and ability to anticipate management needs and drive timely solutions.

Nice to have

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

What we offer

• Salary ranges by location: Los Angeles, CA $187,000-$281,000; San Francisco, CA $195,000-$293,000; Illinois/Pennsylvania $147,600-$286,500; Massachusetts/Maryland/Virginia/Washington, DC $154,400-$299,600; New York/New Jersey $154,400-$312,600. Actual compensation is 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 coverage; 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 an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Employee wellness programs including adoption assistance, backup family care, surrogacy benefits, and employee assistance.
• 15 days of paid time off, 5 personal days, and 9 sick days annually (pro-rated in the first year).
• Nine paid holidays annually.
• 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 (after 90 days), and childbirth and parental leave (after 90 days).
• Hybrid work environment with defined in-person presence requirements.
• Extended hours and some travel may be required.

About FINRA

FINRA is a securities regulator that sets rules and standards for member firms, conducts examinations and investigations, and enforces compliance with federal securities laws and SRO rules to protect investors and maintain market integrity.