Director, Investigations - Crypto Exam and Regulatory Conduct

About the Role

The Director of the Crypto Exam and Regulatory Conduct team leads a highly skilled team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory obligations. This role oversees end-to-end execution of investigations requiring onchain investigative techniques—such as blockchain analytics, smart contract auditing, and onchain research—as well as traditional methods like open-source intelligence review, data analysis, and books and records assessment.

The Director drives initiatives addressing crypto-related risks within the securities industry, including intelligence-sharing with member firms, regulatory partners, law enforcement, and internal/external stakeholders. As a subject matter expert for FINRA, this role provides strategic guidance to leadership, assists in training development, and represents FINRA at industry events to raise awareness of emerging regulatory focus areas and compliance best practices.

The Director cultivates team expertise in cryptocurrency, tokenization, blockchain technologies, and crypto asset compliance to tackle complex regulatory challenges, with foundational knowledge of fraud schemes, money laundering tactics, and on/offchain vulnerabilities.

Responsibilities

• Lead and manage a team of investigators handling misconduct matters, ensuring thorough, strategically sound investigations supported by clear evidence and reliable methodologies.
• Drive timely case resolution by monitoring progress, balancing caseloads, prioritizing high-risk matters, and ensuring efficient outcomes.
• Review and approve investigative findings, reports, dispositions, and referrals to ensure high-quality, professional, and persuasive work product.
• Proactively identify, escalate, and resolve regulatory issues, novel fact patterns, programmatic risks, and emerging trends, advocating for solutions in partnership with senior leadership.
• Foster cross-functional collaboration with Enforcement and other RegOps partners to facilitate information-sharing and coordinated regulatory outcomes.
• Mentor, coach, and develop staff through performance feedback, training, and targeted assignments, fostering a culture of accountability, innovation, and continuous improvement.
• Support program strategy and continuous improvement by leading business process enhancements, technology initiatives, and resource allocation, including thematic reviews and sweeps.
• Represent FINRA externally by engaging with regulators, agencies, and member firms, responding to oversight requests, and participating in industry events.
• Demonstrate FINRA’s values through collaboration, both in-person and virtually, to advance investor protection and market integrity.

Requirements

• Bachelor’s degree in Accounting, Finance, Economics, Business Administration, or a related field, or equivalent combination of education and experience. Advanced degree (MBA, JD) or professional certification (e.g., CFE, ACAMS, CPA) strongly preferred.
• Minimum of ten (10) years of progressive experience in securities, financial services, or financial regulatory industry, with substantive knowledge of regulatory compliance.
• Minimum of two (2) years of experience leading projects, providing staff guidance, and working 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.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent required upon hire or within 16 months of the assigned SIE training cohort.

Qualifications

• Expert knowledge of FINRA rules, SRO rules, the Securities Exchange Act of 1934, and federal securities laws, with responsibility for staying current on regulatory developments.
• Substantive knowledge of securities markets, member firm operations, books and records, and business models, products, and services related to misconduct areas.
• 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 misconduct areas.
• Familiarity with FINRA’s organizational structure, departmental mandates, and cross-functional priorities to support stakeholder engagement and decision-making.
• Foundational knowledge of fraud schemes, money laundering tactics, and on/offchain vulnerabilities in the crypto space.

Skills

• Leadership: Ability to build trust, align high-performing teams, empower direct reports, and foster a culture of accountability, innovation, and continuous improvement.
• Investigative Judgment: Ability to assess investigative strategy, interpret data analysis, and progress complex matters to resolution.
• Communication: Highly advanced written and verbal communication skills, including interpersonal, presentation, and stakeholder engagement abilities.
• Collaboration: Expertise in liaising with internal and external stakeholders, building networks, and determining engagement strategies.
• Prioritization & Organization: Advanced organizational skills to manage multiple time-sensitive matters while balancing tactical and strategic priorities.
• Risk Identification: Ability to identify, prioritize, and escalate risks, advocating for timely outcomes.
• People Development: Demonstrated ability to provide coaching, training, and development opportunities to improve team performance.
• Initiative & Management Awareness: Proactive approach to anticipating management needs, driving solutions, and ensuring accountability.

Working Conditions

• Hybrid work environment with defined in-person presence requirements.
• Extended hours and some travel may be required.

Pay

Salary ranges vary by location. FINRA complies with all state and local pay transparency laws. Actual compensation is based on factors such as skill set, experience, education, and market considerations.

• Los Angeles, CA: $187,000 – $281,000
• San Francisco, CA: $195,000 – $293,000
• CO/FL/TX: $134,400 – $260,400
• IL/PA: $147,600 – $286,500
• MA/MD/VA/Washington, DC: $154,400 – $299,600
• NY/NJ: $154,400 – $312,600

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are eligible for overtime pay in accordance with applicable laws.

Benefits

• Health & Insurance: Comprehensive health, dental, and vision insurance; basic and supplemental life insurance; accidental death and dismemberment coverage; spouse/domestic partner and dependent life insurance; short- and long-term disability; long-term care; business travel accident; and legal insurance.
• Retirement: Immediate participation and vesting in a 401(k) plan with company match, plus eligibility for an additional FINRA-funded retirement contribution.
• Wellness & Support: Tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance program, and wellness programs.
• Time Off: 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year); 2 volunteer service days; military leave; jury duty leave; bereavement leave; voting and election official leave; care of a family member leave (after 90 days); and childbirth/parental leave (after 90 days). Full-time employees receive nine paid holidays.