Director, Investigations - Crypto Fraud and Market Abuse

As Director of the Crypto Fraud and Market Abuse team at FINRA, you lead a highly 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 execution of 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 review). You serve as a subject matter expert on crypto-related fraud and market abuse, providing strategic guidance to Investigations leadership and training to FINRA staff and member firms.

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; provide guidance on investigative strategy.
• Monitor case progress, aging, and staff caseloads; identify caseload 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, ensuring all 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 a coordinated approach to investigations.
• Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; monitor performance and ensure the team has 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 and program initiatives 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.

What you bring

• Bachelor's degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and relevant experience (advanced degree such as MBA or JD, or professional certification such as CFE, ACAMS, or CPA is strongly preferred).
• 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 practices.
• 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 priorities.
• Expert leadership ability to build trust, align high-performing teams around common objectives, empower direct reports, and foster a culture of accountability, innovation, and open dialogue.
• 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 build networks across RegOps and partner organizations.
• Highly advanced organizational skills with excellent attention to detail; ability to manage multiple time-sensitive matters simultaneously and balance tactical execution with strategic direction.
• Expert ability to identify, prioritize, and escalate risk; recognize priority matters and advocate professionally to drive timely outcomes.
• Demonstrated ability to provide meaningful coaching, training, and development opportunities and seek feedback to continuously improve team performance.
• Demonstrated ability to be proactive, take initiative, anticipate management needs, respond with accountability and follow-through.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification 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. Actual compensation is based on skill set, level of 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, spouse/domestic partner and dependent life, short and long-term disability, long-term care, business travel accident, 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.
• Adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• 15 days of paid time off, 5 personal days, and 9 sick days annually (pro-rated in the first year), unless otherwise required by law.
• 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).
• Nine paid holidays annually.
• Hybrid work environment with defined in-person presence requirements.

About FINRA

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc., a securities regulator dedicated to investor protection and market integrity. FINRA regulates securities firms and investigates misconduct within the securities industry.