Senior Director, Special Investigations Unit

5-10 yrs required

Full-time

No

SEO friendly job title: Senior Director, Special Investigations Unit - FINRA - Full Time
H1: Senior Director, Special Investigations Unit - Any FINRA Location
H2: About FINRA's Special Investigations Unit (SIU)

Salary Information:
- Minimum salary: $149,600
- Maximum salary: $351,200
- Actual compensation based on factors such as skill set, experience, education, and internal peer comparisons
- Additional benefits such as bonuses, health insurance, retirement plans, and paid time off

Job Title: Senior Director, Special Investigations Unit
Organization: FINRA
Location: Any FINRA Location
Time Type: Full Time

Experience Information:
- Bachelor's degree in relevant field
- Advanced degree, certification, or law degree a plus
- Significant experience in securities, compliance, or financial regulatory work
- Highly advanced knowledge in analyzing and investigating complex AML and fraud related issues

H1: Essential Job Functions
H2: What You Will Do

- Lead a team of highly skilled AML and fraud specialists
- Identify and develop regulatory strategies for new and emerging AML and fraud risks and threats
- Oversee AML and fraud thematic reviews and investigations
- Develop and implement a data analytics strategy for identifying suspicious conduct
- Provide subject matter expertise to external parties
- Collaborate with other regulators and law enforcement agencies
- Review and approve investigation-related reports and letters
- Represent FINRA at industry events

H1: Education/Experience Requirements
H2: What You Need

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

H1: Knowledge Requirements
H2: What You Should Know

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

H1: Skills Requirements
H2: What You Should Bring

- Expert ability in building trust and aligning high performing teams
- Experience overseeing high performing teams in AML and fraud investigations
- Strong communication and interpersonal skills
- Ability to foster a culture of accountability and teamwork

H1: Salary Information
H2: Proposed Salary Range

- 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

H1: Time Off and Paid Leave
H2: Benefits and Perks

- 15 days of paid time off, 5 personal days, and 9 sick days
- 2 volunteer service days
- Military, jury duty, bereavement, voting, and childbirth/parental leave
- 9 paid holidays
- Comprehensive health, dental, and vision insurance
- Additional insurance options such as life, disability, and long-term care
- 401(k) plan with company match and eligibility for additional FINRA-funded retirement contributions
- Tuition reimbursement and other benefits

H1: Important Information
H2: Code of Conduct and Restrictions

- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA
- Employees must comply with investment restrictions, including disposing of any securities on FINRA's Prohibited Company List
- Employees may only maintain disclosed securities accounts at firms that provide an electronic feed to FINRA
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and abide by the company's nepotism policy

H1: Search Firm Representatives
H2: Hiring Process

- FINRA does not accept unsolicited resumes from search firms
- A valid agreement and task order must be in place before submitting resumes
- All submitted resumes become the sole property of FINRA

H1: Equal Opportunity and Affirmative Action Employer
H2: Our Commitment to Diversity

- All qualified applicants will receive consideration for employment without regard to age, citizenship status, disability, race, religion, sex, sexual orientation, gender identity, veteran status, or any other protected classification
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) for individuals with disabilities and protected veterans, respectively

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, retirement plans, time off and paid leave, volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of family member leave, childbirth and parental leave

Not specified

Leadership, Team Management, Strategic Thinking, Communication, Financial Analysis, Regulatory Knowledge, Data Analysis

Bachelor's Degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related fields preferred, Advanced degree, relevant certification, or law degree a plus

Submit an application on FINRA's careers website

Qualification and Experience Bachelor's Degree or equivalent, Advanced degree or relevant certification a plus

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