Senior Director, Special Investigations Unit

Full-time

No

Senior Director, Special Investigations Unit - Any FINRA Location

Full-time

FINRA Careers

Job Requisition ID: R-007744

The Senior Director within FINRA’s Special Investigations Unit (SIU) is responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This role includes leadership of the specialist AML Investigations teams and Anti-Fraud Investigations (AFI) team, as well as conducting investigations and examinations, providing advice and consultation to support other FINRA components dealing with AML and fraud issues, and sharing intelligence with internal and external stakeholders to mitigate priority threats. Other responsibilities may include informing industry and external stakeholders, monitoring the area of specialization, assisting key internal stakeholders, and participating in special projects.

This is a senior level leadership position that requires supervising a team of highly skilled AML and fraud specialists. The Senior Director will be expected to develop and execute a strategy to accomplish department objectives, define individual staff roles, provide general direction and guidance, develop skillsets of staff, and identify professional development opportunities for staff.

Key Responsibilities:

- Lead a team of highly skilled AML and fraud specialists, providing guidance and feedback to staff, developing staff’s skills and depth of knowledge, and creating and fostering a team-oriented culture.
- Identify and develop regulatory strategies around new and emerging AML and fraud related risks and threats and supervise the execution of investigations, consultations, and regulatory work as they relate to those identified risks.
- Lead and consult on AML and fraud thematic reviews and/or investigations.
- Develop and implement a data analytics strategy to identify money laundering, fraud and other suspicious conduct involving FINRA member firms and/or associated persons.
- Provide subject matter expertise to external parties, including firm membership, on high-level regulatory issues related to AML and fraud.
- Ensure timely training, support, and intelligence is delivered to FINRA’s Risk Monitoring, Examination and other departments as needed.
- Collaborate with the Member Application Program (MAP) team to analyze the AML or fraud-related risks of new firms and provide feedback on related controls established and overall provide general consultative advice on AML and fraud concerns.
- Regularly collaborate with other regulators or law enforcement agencies such as the SEC, FRB, States, CFTC, NFA, FBI, DHS, Treasury components, and other stakeholders.
- Review and approve investigation-related reports and letters.
- Represent FINRA at relevant industry events.

Requirements:

- Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, Data Analytics or related fields preferred. 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.

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 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, encourages open dialogue and fosters healthy discussions when faced with conflict.
- Highly advanced and effective written and verbal communication skills, including outstanding interpersonal and presentation skills.
- Fosters culture of accountability at all levels.
- Demands clarity and closure.
- Facilitates team commitment to IFF’s goals and objectives.

Salary Information:

The salary range for this position varies based on location and other factors, including the candidate’s skill set, level of experience, education, and internal peer compensation comparisons. Please refer to the chart below for the proposed salary range for the corresponding location:

- 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 apply for this position, please submit an application. Applications are accepted on an ongoing basis.

Please note that the information provided above is not a comprehensive inventory of all duties, responsibilities and qualifications required for this position.

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. Employees must disclose all brokerage accounts that they maintain, and those in which they control trading or have a financial interest, and authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
- As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Time Off and Paid Leave:

FINRA offers its employees a generous time-off program, including 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year). Additionally, employees are encouraged to support their communities through two volunteer service days (based

Not specified

Comprehensive health, dental, and vision insurance, basic and supplemental life insurance, short- and long-term disability, long-term care, business travel accident, and legal insurance. Participation in 401(k) plan with company match, additional FINRA-funded retirement contribution, tuition reimbursement, and other benefits. 15 days paid time off, 5 personal days, 9 sick days, 2 volunteer service days, 9 paid holidays.

Not specified

Leadership, Team Management, AML, Fraud, Investigations, Data Analytics, Regulatory Strategy, Training, Risk Monitoring, Examination, Intelligence Sharing, Collaboration, Communication, Accountability, Conflict Resolution, Event Representation, Legal Compliance

Bachelor's Degree or equivalent experience, advanced degree or relevant certification preferred

Submit an application through FINRA's career site.

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

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