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 examination). You serve as a subject matter expert on crypto-related risks within the securities industry, guiding FINRA leadership, developing training, 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 evidence using accepted methodologies.
• Monitor case progress, aging, and caseloads; 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, and emerging market trends; develop and advocate for 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 investigation and regulatory outcomes.
• Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; foster 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; initiate improvements that strengthen investigative execution and regulatory outcomes.
• Engage professionally with external regulators, agencies, and member firms; facilitate responses to oversight and access requests; represent FINRA at industry events and stakeholder meetings.
• Maintain and cultivate team expertise in cryptocurrency, tokenization, blockchains, and on-chain technologies, as well as crypto asset compliance, including foundational knowledge of fraud schemes, money laundering tactics, and threat vectors in the crypto space.
• Demonstrate FINRA's values and collaborate both in-person and virtually in furtherance of FINRA's mission of investor protection and market integrity.

What you bring

• Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience.
• Minimum of ten years of progressive experience in the securities, financial services, or financial regulatory industry, with substantive knowledge of regulatory compliance.
• 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, 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 misconduct areas.
• 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 misconduct areas.
• Familiarity with FINRA's organizational structure, departmental mandates, and cross-functional priorities.
• Expert ability to build trust, align high-performing teams around common objectives, empower direct reports, and exercise 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; ability to manage multiple time-sensitive matters simultaneously.
• Expert ability to identify, prioritize, and escalate risk; recognize priority matters and advocate professionally.
• Demonstrated ability to provide meaningful coaching, training, and development opportunities.
• Demonstrated ability to be proactive, take initiative, anticipate management needs, and drive timely solutions with accountability and follow-through.

Nice to have

• Advanced degree (MBA, JD) or professional certification (CFE, ACAMS, 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 based on skill set, level of experience, education, and market considerations.
• 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 disability, and legal.
• Immediate participation and vesting in a 401(k) plan with company match and eligibility for additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year), plus 9 paid holidays.
• Two volunteer service days.
• 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).
• Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Hybrid work environment with defined in-person presence requirements.
• FINRA Securities Industry Essentials (SIE) certification required upon hire or within 16 months of the start date of the assigned SIE training cohort.

About FINRA

FINRA is a self-regulatory organization dedicated to investor protection and market integrity in the securities industry. The organization conducts regulatory investigations, examinations, and enforcement activities across the financial services sector.