Senior Director, Special Investigations Unit

Min 10 yrs required

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) oversees the anti-money laundering (AML) and anti-fraud investigative functions, leading a team of highly skilled AML and fraud specialists. This senior level position involves developing and executing a strategy to accomplish department objectives, providing guidance and feedback to staff, and identifying and developing regulatory strategies around new and emerging AML and fraud related risks and threats.

H1: Senior Director, Special Investigations Unit - Any FINRA Location

H2: Essential Job Functions:

- Leads and supervises a team of highly skilled AML and fraud specialists, fostering a team-oriented culture.
- Identifies and develops regulatory strategies around new and emerging AML and fraud related risks and threats.
- Provides subject matter expertise to external parties on high-level regulatory issues related to AML and fraud.
- Develops and implements a data analytics strategy to identify money laundering, fraud and other suspicious conduct.
- Collaborates with other regulators and law enforcement agencies.
- Represents FINRA at relevant industry events.

Skills and Experience Required:

- Bachelor's Degree or equivalent experience, with a major in Accounting, Finance, Economics, Business Administration, Data Analytics or related fields preferred.
- 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.
- 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.
- 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:

- 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

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. FINRA offers a comprehensive benefits package including health, dental, and vision insurance, as well as a 401(k) plan with company match and eligibility for participation in additional retirement contributions, tuition reimbursement, and other benefits.

Important Information:

- Employees may be eligible for a discretionary bonus in addition to base pay.
- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures.
- FINRA employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements.
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

SEO Job Title: Senior Director, Special Investigations Unit - Any FINRA Location

SEO Friendly Headings:

H1: Senior Director, Special Investigations Unit - Any FINRA Location

H2: Essential Job Functions

H2: Education/Experience Requirements

H2: Knowledge Requirements

H2: Skills Requirements

H2: Salary Information

H2: Important Information

H2: Search Firm Representatives

H2: Equal Opportunity and Affirmative Action Employer

H2: FINRA’s Code of Conduct

H2: FINRA’s Employee Confidentiality and Invention Assignment Agreement

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, short- and long-term disability, long-term care, business travel accident, disability, legal, 401(k) plan with company match, FINRA-funded retirement contribution, tuition reimbursement, 15 days 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 (available after 90 days of employment), childbirth and parental leave (available after 90 days of employment), 9 paid holidays (based on full-time schedule)

Not specified

Leadership, Investigation, Consultation, Training, Intelligence Sharing, Data Analytics, Communication, Strategy Development, Team Management, Risk Analysis, Regulatory Compliance, Anti-Money Laundering, Anti-Fraud, Securities, Financial Regulation

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

Submit an application through FINRA's website

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

Legal