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 investigations using both on-chain techniques (on-chain research and analysis, blockchain analytics and forensics, smart contract auditing) and traditional investigative methods (open source intelligence review, data analysis, books and records examination). You also drive mitigation initiatives, serve as a subject matter expert on crypto fraud and market abuse, and cultivate team expertise in cryptocurrency, tokenization, blockchains, and on-chain technologies.

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 and ensure effective resolution
• Review and approve investigative findings, analyses, reports, dispositions, investigative summaries, and referrals to enforcement and external entities
• Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, and emerging market trends; develop and advocate for potential solutions in partnership with the Senior Director
• Build and maintain effective working relationships with Enforcement and other Regulatory Operations partners; facilitate information-sharing and coordinated approaches to investigations
• 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, and resource allocation; initiate thematic reviews and program initiatives
• Engage professionally with external regulators, agencies, and member firms; facilitate responses to oversight requests; represent FINRA at industry events and stakeholder meetings
• Maintain and deepen team expertise in cryptocurrency, tokenization, blockchains, and on-chain technologies as well as crypto asset compliance

What you bring

• A 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 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 self-regulatory organization 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 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 priorities
• Expert leadership ability to build trust, align high-performing teams around common objectives, and exercise sound judgment
• Demonstrated ability to assess investigative strategy, interpret results of data analysis, 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 engagement decisions
• 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 and advocate professionally to drive timely outcomes
• Demonstrated ability to provide meaningful coaching, training, and development opportunities
• Demonstrated ability to be proactive, take initiative, anticipate management needs, and respond 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 (e.g., 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
• Discretionary bonus in addition to base pay
• Comprehensive health, dental, and vision insurance
• Life insurance (basic, supplemental, spouse/domestic partner, and dependent coverage), accidental death and dismemberment insurance, short- and long-term disability, long-term care, and business travel accident insurance
• 401(k) plan with immediate participation, 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 per year
• Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a 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 a self-regulatory organization that regulates securities firms and markets, working to protect investors and maintain market integrity through investigations and enforcement of securities laws and regulations.