Senior Director, Special Investigations Unit

Full-time

No

Senior Director, Special Investigations Unit - Any FINRA Location

Full Time

R-007744

The Senior Director within FINRA’s Special Investigations Unit (SIU) will oversee the AML and anti-fraud investigative functions, providing leadership to specialist teams and collaborating with other FINRA components to mitigate priority threats. This senior level position will supervise a team of highly skilled AML and fraud specialists and develop and execute a strategy to accomplish department objectives.

Essential Job Functions:

- Oversee a team of highly skilled AML and fraud specialists, providing guidance and feedback, and fostering a team-oriented culture
- Identify and develop regulatory strategies around new and emerging AML and fraud related risks and supervise investigations and consultations
- Lead 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
- Ensure timely training, support, and intelligence is delivered to other FINRA departments
- Collaborate with the Member Application Program team to analyze AML and fraud risks of new firms and provide feedback on related controls
- Regularly collaborate with other regulators or law enforcement agencies
- Review and approve investigation-related reports and letters
- Represent FINRA at industry events

Education/Experience Requirements:

- Bachelor's Degree or equivalent combination of education and experience, major in relevant field preferred
- Significant securities, compliance, or financial regulatory experience
- Highly advanced knowledge of analyzing, investigating, and thinking strategically about complex AML and fraud related issues

Knowledge Requirements:

- Substantive knowledge of relevant rules, regulations, and risks pertaining to AML and fraud threats
- Knowledge of data analytics methods, procedures, and tools a plus

Skills Requirements:

- Expert ability in building trust and aligning high performing teams
- Experience in overseeing high performing teams performing complex AML and fraud related investigations
- Promotes a diverse and inclusive culture
- Highly advanced and effective written and verbal communication skills
- Fosters culture of accountability
- Demands clarity and closure
- Facilitates team commitment to goals and objectives

Salary Information:

- California: Minimum Salary $171,900, Maximum Salary $351,200
- Washington DC: Minimum Salary $171,900, Maximum Salary $336,600
- Colorado/Hawaii: Minimum Salary $149,600, Maximum Salary $292,600
- New York, NY: Minimum Salary $179,600, Maximum Salary $351,200
- Washington: Minimum Salary $149,600, Maximum Salary $336,600

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in 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 (available after 90 days of employment)
- 9 paid holidays (based on full-time schedule)

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 specified

Comprehensive health, dental, and vision insurance; basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment insurance; short- and long-term disability insurance; long-term care insurance; business travel accident insurance; disability and legal insurance; 401(k) plan with company match; additional FINRA-funded 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 specified

Leadership, team management, strategic planning, risk management, communication, collaboration, critical thinking, problem solving, data analytics, regulatory compliance, AML, anti-fraud, investigations, industry events, training, intelligence sharing, external stakeholder engagement, securities regulations, financial regulations, data analytics methods, procedures, tools, business administration.

Bachelor's Degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related field (advanced degree, relevant certification, or law degree a plus).

Submit an application through FINRA's career 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 a plus). Significant securities, compliance, or financial regulatory experience. Highly advanced knowledge analyzing, investigating, and thinking strategically about complex AML and fraud related issues.

Legal