Senior Director, Special Investigations Unit

Full-time

No

Senior Director, Special Investigations Unit - Any FINRA Location

Full Time

R-007744

Overview:

- Senior leadership position within FINRA’s Special Investigations Unit (SIU)
- Oversees anti-money laundering (AML) and anti-fraud investigative functions
- Leads specialist AML Investigations teams and Anti-Fraud Investigations (AFI) team
- Conducts investigations and examinations, provides advice and consultation, and shares intelligence to mitigate priority threats
- Develops and executes a strategy to accomplish department objectives
- Supervises a team of highly skilled AML and fraud specialists
- Provides subject matter expertise to external parties on regulatory issues related to AML and fraud
- Collaborates with other regulators and law enforcement agencies
- Reviews and approves investigation-related reports and letters
- Represents FINRA at relevant industry events

Education/Experience Requirements:

- Bachelor's Degree in relevant field preferred
- Advanced degree, relevant certification, or law degree a plus
- Significant experience in securities, compliance, or financial regulatory work
- Highly advanced knowledge of AML and fraud related issues

Knowledge Requirements:

- 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 Requirements:

- Expert ability in building and leading high performing teams
- Experience overseeing complex AML and fraud related investigations
- Strong written and verbal communication skills
- Promotes a diverse and inclusive culture
- Demands clarity and closure
- Facilitates team commitment to department 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

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA
- Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy

Equal Opportunity 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 ) to provide equal employment opportunities to qualified individuals with disabilities and protected veterans

Apply for the role of Senior Director, Special Investigations Unit at any FINRA location to lead a team of highly skilled AML and fraud specialists, provide subject matter expertise on regulatory issues, and collaborate with other regulators and law enforcement agencies to mitigate priority threats. This senior leadership position requires significant experience in securities, compliance, or financial regulatory work, as well as advanced knowledge of AML and fraud related issues. Join our diverse and inclusive culture and make an impact in the fight against financial crimes.

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

H2: Essential Job Functions

- Supervise specialist AML Investigations teams and Anti-Fraud Investigations (AFI) team
- Develop and execute a strategy to accomplish department objectives
- Provide subject matter expertise to external parties on regulatory issues related to AML and fraud
- Collaborate with other regulators and law enforcement agencies
- Represent FINRA at relevant industry events

H2: Education/Experience Requirements

- Bachelor's Degree in relevant field preferred
- Advanced degree, relevant certification, or law degree a plus
- Significant experience in securities, compliance, or financial regulatory work
- Highly advanced knowledge of AML and fraud related issues

H2: Knowledge Requirements

- 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

H2: Skills Requirements

- Expert ability in building and leading high performing teams
- Experience overseeing complex AML and fraud related investigations
- Strong written and verbal communication skills
- Promotes a diverse and inclusive culture
- Demands clarity and closure
- Facilitates team commitment to department goals and objectives

H2: 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

H2: Important Information

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA
- Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy

H2: Equal Opportunity 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
- FIN

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, 401(k) plan with company match, retirement contribution, tuition reimbursement, time off, paid leave, volunteer service days, military leave, jury duty leave, bereavement leave, care of family member leave, childbirth and parental leave, holidays

Not specified

Leadership, AML and Fraud Investigations, Regulatory Strategy, Data Analytics, Communication, Team Management, Training and Development, Risk Management, Collaboration, Presentation Skills, Financial Regulation

Bachelor's degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related field. Advanced degree, relevant certification, or law degree preferred.

Submit an application through FINRA's 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.

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