Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of the Crypto Exam and Regulatory Conduct team at FINRA, you lead a 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 investigative methods (open-source intelligence review, data analysis, books and records examination). You serve as FINRA's subject matter expert on crypto regulatory challenges, providing strategic guidance to leadership, developing training for staff and member firms, 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; identify imbalances; prioritize high-risk and high-priority matters; 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; develop and advocate for solutions in partnership with the Senior Director
• Build and maintain effective working relationships with Enforcement and other RegOps partners; facilitate active information-sharing and coordinated approaches to investigations and regulatory outcomes
• Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; monitor performance; ensure the team has needed resources; foster 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 and sweeps; advance 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 relevant industry events and stakeholder meetings
• 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 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
• 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 and developments
• 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
• Familiarity with FINRA's organizational structure, departmental mandates, and cross-functional priorities
• Expert leadership ability to build trust, align high-performing teams, empower direct reports, and foster accountability and innovation
• Demonstrated ability to assess investigative strategy, interpret data analysis results, 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 exercise sound judgment in stakeholder engagement
• 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 and development opportunities
• Demonstrated ability to be proactive, take initiative, anticipate management needs, and drive timely solutions
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification required upon hire or within 16 months of start date

Nice to have

• Advanced degree (MBA, JD) or professional certification such as CFE, ACAMS, or CPA
• Foundational knowledge of fraud schemes, money laundering tactics, and other threat vectors in the crypto space, including on/off-chain vulnerabilities

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 includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent coverage, short- and long-term disability, long-term care, business travel accident, disability and legal
• Immediate participation and vesting in 401(k) plan with company match; eligibility for FINRA-funded retirement contribution
• Tuition reimbursement
• Commuter benefits
• 15 days paid time off, 5 personal days, and 9 sick days (pro-rated in first year), plus 9 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, care of 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

About FINRA

FINRA is a securities regulator dedicated to investor protection and market integrity. As a self-regulatory organization, FINRA establishes and enforces rules governing member firm operations and conducts examinations and investigations of regulatory compliance and conduct matters.