Director, Investigations - Crypto Fraud and Market Abuse

Requisition #: 24-2549

About the role

The Director of the Crypto Fraud & Market Abuse team leads a highly skilled team of investigators focused on detection, investigation, and mitigation of crypto-related fraud and market abuse within the securities industry. This role oversees end-to-end execution of investigations using onchain techniques—such as blockchain analytics, forensics, and smart contract auditing—as well as traditional methods like open-source intelligence, data analysis, and review of books and records.

The Director drives initiatives to mitigate crypto-fraud and market abuse threats, engaging with member firms, regulatory partners, law enforcement, and internal/external stakeholders. As a subject matter expert for FINRA, the role provides strategic guidance to Investigations leadership, develops and delivers training, and speaks at industry events to raise awareness of emerging threats and compliance best practices.

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

Responsibilities

• Lead & Manage Investigations: Provide leadership, oversight, and day-to-day management of a team handling misconduct matters, ensuring thorough, strategically sound investigations supported by clear evidence and reliable methodologies.
• Drive Timely Case Resolution: Monitor case progress, aging, and staff caseloads; correct imbalances; prioritize high-risk matters; and ensure efficient resolution.
• Review & Approve Work Product: Review and approve investigative findings, analyses, reports, dispositions, and referrals to enforcement and external entities, ensuring high-quality, professional, and persuasive work product.
• Identify, Escalate & Resolve Regulatory Issues: Proactively identify and escalate regulatory issues, novel fact patterns, programmatic risks, and emerging trends; develop and advocate for solutions in partnership with Senior Director.
• Foster Cross-Functional Collaboration: Build and maintain effective relationships with Enforcement and other RegOps partners; facilitate information-sharing and a coordinated approach to investigations.
• Develop People & Build Team Capability: Mentor, coach, and develop staff through feedback, training, and targeted assignments; monitor performance and ensure resources for continuous improvement; foster a culture of accountability and innovation.
• Support Program Strategy & Continuous Improvement: Lead and participate in program strategy, including process improvements, technology enhancements, and resource allocation; initiate thematic reviews and sweeps.
• Represent FINRA Externally: Engage with external regulators, agencies, and member firms; facilitate responses to oversight requests; represent FINRA at industry events and stakeholder meetings.
• 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 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.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent required upon hire or within 16 months of the start date.

Qualifications

• Expert knowledge of FINRA rules, SRO rules, the Securities Exchange Act of 1934, and federal securities laws; responsibility for staying current on regulatory developments.
• Substantive knowledge of securities markets, member firm operations, books and records, and business models/products/services related to 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 misconduct areas.
• Familiarity with FINRA’s organizational structure, departmental mandates, and cross-functional priorities.
• 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 and innovation.
• Investigative Judgment: Ability to assess strategy, interpret data analysis, make sound decisions, and resolve complex matters.
• Communication: Highly advanced written and verbal skills, including interpersonal, presentation, and stakeholder engagement; ability to represent FINRA professionally.
• Collaboration: Ability to liaise with internal/external stakeholders, build networks, and exercise judgment in engagement.
• Prioritization & Organization: Advanced organizational skills to manage multiple time-sensitive matters and balance tactical execution with strategic direction.
• Risk Identification: Ability to identify, prioritize, and escalate risks; advocate for timely outcomes.
• People Development: Ability to provide coaching, training, and development opportunities; incorporate feedback to improve team performance.
• Initiative & Management Awareness: Proactive approach to anticipate management needs, respond with accountability, and drive solutions.

Working Conditions

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

Pay

FINRA complies with state and local pay transparency laws. Salary ranges vary by location and are based on factors including skill set, experience, education, and market considerations. Below are the ranges for specific locations:

• 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 federal, state, or local law.

Benefits

• Health & Insurance: Comprehensive health, dental, and vision insurance; basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and accidental death coverage; 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; eligibility for an additional FINRA-funded retirement contribution.
• Wellness & Support: Tuition reimbursement, commuter benefits, adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
• Time Off & Paid Leave:
  • 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year).
  • 2 volunteer service days (based on full-time schedule).
  • 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 (based on full-time schedule).