Director, Investigations - Crypto Exam and Regulatory Conduct

As Director of the Crypto Exam and Regulatory Conduct team at FINRA, you lead a skilled team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. You oversee end-to-end investigation execution 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 risks for FINRA, providing strategic guidance, 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 and sufficient evidence
• Monitor case progress, aging, and caseloads; identify imbalances and prioritize high-risk and high-priority matters for effective resolution
• Review and approve investigative findings, analyses, reports, dispositions, and referrals to enforcement and external entities
• Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, and emerging market trends
• Build and maintain effective working relationships with Enforcement and other RegOps partners to facilitate information-sharing and coordinated investigative outcomes
• Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments
• Lead development and implementation of program strategy, including business process improvements, technology enhancements, and resource allocation
• Engage professionally with external regulators, law enforcement, member firms, 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

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
• Substantive knowledge of securities markets, member firm operations, books and records, and firm business models 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: build trust, align high-performing teams, empower direct reports, and foster accountability and innovation
• Demonstrated investigative judgment: assess strategy, interpret data analysis results, make sound decisions, and progress complex matters to resolution
• Highly advanced written and verbal communication skills, including interpersonal, presentation, and stakeholder engagement abilities
• Expert collaboration skills: liaise effectively with internal and external stakeholders and 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 advocate professionally to drive timely outcomes
• Demonstrated ability to provide meaningful coaching and training; seek feedback to improve team performance
• Demonstrated proactivity, initiative, and ability to anticipate management needs and follow through with accountability
• 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

• Advanced degree (MBA, JD) or professional certification (CFE, ACAMS, CPA)
• Foundational knowledge of fraud schemes, money laundering tactics, and other threat vectors in the crypto space, including on-chain and 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. Actual compensation based on skill set, 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, 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 and eligibility for additional FINRA-funded retirement contribution
• 15 days of paid time off, 5 personal days, and 9 sick days per year (pro-rated in 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, and childbirth and parental leave
• Tuition reimbursement
• Commuter benefits
• Employee wellness programs including adoption assistance, backup family care, surrogacy benefits, and employee assistance
• Hybrid work environment with defined in-person presence requirements

About FINRA

FINRA is a self-regulatory organization that regulates the securities industry and protects investors and market integrity. The organization operates through multiple departments and regulatory oversight functions, overseeing member firms and conducting investigations into misconduct across securities markets.