Director, Investigations - Crypto Fraud and Market Abuse

As Director of the Crypto Fraud and Market Abuse team at FINRA, you lead a skilled team of investigators focused on detecting, investigating, and mitigating crypto-related fraud and market abuse within the securities industry. You oversee end-to-end investigation execution using both on-chain investigative techniques (blockchain analytics, forensics, smart contract auditing, on-chain research) and traditional methods (open source intelligence review, data analysis, books and records review). You also drive mitigation initiatives through engagement with member firms, regulatory partners, and law enforcement, while serving as FINRA's subject matter expert on crypto fraud and market abuse.

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; identify and correct imbalances; prioritize high-risk and high-priority matters for effective 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 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; facilitate information-sharing and coordinated investigative approaches
• Mentor 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; recommend and advance thematic reviews and other program initiatives
• Engage professionally with external regulators, agencies, and member firms; facilitate responses to oversight and access requests; represent FINRA at industry events and stakeholder meetings

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, 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 fraud and market abuse
• 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 results of data analysis and investigative tools, and progress complex matters to resolution
• Highly advanced written and verbal communication skills, including interpersonal, presentation, and stakeholder engagement skills
• 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 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
• 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 such as 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; 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
• Life insurance (basic, supplemental, spouse/domestic partner and dependent), accidental death and dismemberment, 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 additional FINRA-funded retirement contribution
• Tuition reimbursement and 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)
• 2 volunteer service days annually
• Paid 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)
• 9 paid holidays annually
• Hybrid work environment with defined in-person presence requirements

About FINRA

FINRA is a self-regulatory organization that regulates securities firms and enforces rules to protect investors and maintain market integrity. The organization operates across multiple U.S. locations and focuses on detecting and investigating misconduct within the securities industry through a combination of regulatory expertise and investigative capabilities.