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 analysis) and traditional methods (open source intelligence review, data analysis, books and records examination). You serve as a subject matter expert on crypto-related regulatory risks, provide strategic guidance to leadership, develop training for FINRA staff and member firms, 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 and sufficient evidence using accepted methodologies
• Monitor case progress, caseload aging, and staff workload 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 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, developing and advocating 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 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 to support continuous improvement
• Lead and participate in developing and implementing program strategy, including business process improvements, technology enhancements, and resource allocation; initiate 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 (an advanced degree such as MBA or JD, or professional certification such as CFE, ACAMS, or CPA, is strongly preferred)
• A minimum of ten years of progressive experience in the securities, financial services, or financial regulatory industry, with substantive knowledge of regulatory compliance
• A 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 areas 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 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 while exercising sound judgment, and foster a culture of accountability, innovation, 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 abilities
• 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 and 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 ability to be proactive, take initiative, anticipate management needs, and respond with accountability and follow-through
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent is required upon hire or within 16 months of the start date of the assigned SIE training cohort

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
• Discretionary bonus in addition to base pay
• Comprehensive health, dental, and vision insurance
• Additional insurance: 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 an additional FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• Fifteen days of paid time off, five personal days, and nine sick days per year (all pro-rated in the first year), unless otherwise required by law
• Nine paid holidays for full-time employees
• Two volunteer service days based on full-time schedule
• Military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of family member leave (available after 90 days), and childbirth and parental leave (available after 90 days)
• Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs
• Hybrid work environment with defined in-person presence requirements

About FINRA

FINRA is the Financial Industry Regulatory Authority, a self-regulatory organization that oversees securities markets and member firms to protect investor protection and market integrity.