Senior Director, Special Investigations Unit

Full-time

No

H1: Senior Director, Special Investigations Unit - Any FINRA Location
H2: Leadership Position in AML and Anti-Fraud Investigations

Organization: FINRA
Department: Special Investigations Unit (SIU)
Job Type: Full-time
Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications)
Experience: Significant securities, compliance, or financial regulatory experience

Job Summary:
The Senior Director within FINRA’s Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions. This includes leadership of specialist AML Investigations teams and the Anti-Fraud Investigations (AFI) team. The Senior Director will be responsible for developing and executing a strategy to accomplish department objectives, providing general direction and guidance, and identifying professional development opportunities for staff.

Responsibilities:
- Lead a team of highly skilled AML and fraud specialists, providing guidance and feedback to staff and fostering a team-oriented culture.
- Identify and develop regulatory strategies around new and emerging AML and fraud related risks and threats.
- Oversee and consult on AML and fraud thematic reviews and investigations.
- Develop and implement a data analytics strategy to identify money laundering, fraud and other suspicious conduct.
- Provide subject matter expertise to external parties on high-level regulatory issues related to AML and fraud.
- Collaborate with other regulators and law enforcement agencies.
- Review and approve investigation-related reports and letters.
- Represent FINRA at relevant industry events.

Requirements:
- Bachelor's Degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related fields (advanced degree, relevant certification, or law degree a plus).
- Significant securities, compliance, or financial regulatory experience.
- Highly advanced knowledge analyzing, investigating, and thinking strategically about complex AML and fraud related issues.
- Substantive knowledge of relevant rules, regulations and risks pertaining to AML and fraud threats.
- Substantive knowledge of regulatory compliance issues in the areas of AML and fraud.
- Knowledge of data analytics methods, procedures, and tools a plus.

Skills:
- Expert ability in building trust and aligning high performing teams around common objectives.
- Experience in overseeing high performing teams performing complex AML and fraud related investigations.
- Promotes a diverse and inclusive culture and fosters healthy discussions when faced with conflict.
- Highly advanced and effective written and verbal communication skills.
- Fosters culture of accountability at all levels.
- Demands clarity and closure.
- Facilitates team commitment to goals and objectives.

Salary Information (based on location and qualifications):
- California: Minimum $171,900, Maximum $351,200
- Washington DC: Minimum $171,900, Maximum $336,600
- Colorado/Hawaii: Minimum $149,600, Maximum $292,600
- New York, NY: Minimum $179,600, Maximum $351,200
- Washington: Minimum $149,600, Maximum $336,600

Benefits:
- Comprehensive health, dental, and vision insurance.
- Basic and supplemental life insurance, spouse/domestic partner and dependent life insurance, and short- and long-term disability.
- Immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement and many other benefits.

Time Off and 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.
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave.
- 9 paid holidays.

Important Information:
- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures.
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

Equal Opportunity and Affirmative Action Employer:
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws.
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ).

Not applicable

Comprehensive health, dental, and vision insurance; basic and supplemental life insurance; short- and long-term disability; long-term care; business travel accident insurance; 401(k) plan with company match; retirement contribution; tuition reimbursement; 15 days of paid time off; 5 personal days; 9 sick days; 2 volunteer service days; military leave; jury duty leave; bereavement leave; voting and election official leave; care of a family member leave; childbirth and parental leave; 9 paid holidays

Not applicable

Leadership, Team Management, Data Analytics, Communication, Problem-Solving, Regulatory Knowledge, Financial Industry Knowledge, Legal Knowledge, Staff Development, Inclusive Culture, Accountability, Facilitation

Bachelor's Degree or equivalent combination of education and experience (advanced degree, relevant certification, or law degree preferred)

Submit an application on the FINRA Careers site

Qualification and Experience Bachelor's Degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related field (advanced degree, relevant certification, or law degree preferred)

Legal