Senior Director, Special Investigations Unit

5-10 yrs required

Full-time

No

SEO friendly job title: Senior Director, Special Investigations Unit - Any FINRA Location

H1: Senior Director - Special Investigations Unit

H2: Job Description and Responsibilities

Bold Headlines:

- Join the leading securities regulator in the US
- Oversee AML and anti-fraud investigations
- Lead a team of highly skilled specialists
- Develop and execute strategies to mitigate risks
- Collaborate with industry and external stakeholders
- Competitive salary and benefits package

Organization: FINRA
Department: Special Investigations Unit
Job Type: Full Time
Experience: Senior Level
Salary: $149,600 - $351,200 (depending on location and experience)

Job Summary:

The Senior Director of FINRA's Special Investigations Unit (SIU) is responsible for leading AML and anti-fraud investigations and providing guidance and support to other FINRA components dealing with these issues. This senior level position oversees a team of highly skilled specialists and is responsible for developing and executing strategies to mitigate risks and ensure compliance with relevant rules and regulations.

Key Responsibilities:

- Lead a team of AML and fraud specialists, providing guidance and fostering a team-oriented culture.
- Identify and develop regulatory strategies to address emerging AML and fraud threats.
- Consult and provide expertise on AML and fraud issues to external parties, including industry members.
- Develop and implement a data analytics strategy to identify suspicious conduct involving FINRA member firms and associated persons.
- Collaborate with other regulators and law enforcement agencies to share intelligence and mitigate threats.
- Review and approve investigation-related reports and letters.
- Represent FINRA at relevant industry events.

Education and Experience Requirements:

- Bachelor's degree in a related field preferred.
- Significant securities, compliance, or financial regulatory experience required.
- Advanced knowledge of AML and fraud related issues.

Knowledge, Skills, and Abilities:

- Substantive knowledge of relevant rules, regulations and risks pertaining to AML and fraud threats.
- Expert ability in building and leading high performing teams.
- Strong written and verbal communication skills.
- Ability to promote a diverse and inclusive culture.
- Strong problem-solving and decision-making skills.
- Knowledge of data analytics methods and tools a plus.

Salary Information:

The salary range for this position varies based on location and experience. Please see the chart below for more information:

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

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

Benefits:

- Comprehensive health, dental, and vision insurance.
- Basic life, accidental death and dismemberment, and supplemental life insurance.
- Short- and long-term disability, long-term care, and business travel accident insurance.
- Immediate participation and vesting in a 401(k) plan with company match.
- Tuition reimbursement and other benefits.

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year).
- Two volunteer service days (based on full-time schedule).
- Military, jury duty, bereavement, voting and election official, and family care leave.
- Childbirth and parental leave (available after 90 days of employment).
- Nine 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 execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.
- Employees must disclose and authorize FINRA to monitor all brokerage accounts they maintain.
- Employees may only maintain securities accounts at firms that provide an electronic feed of data to FINRA.

Search Firm Representatives:

FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. A valid written agreement and task order must be in place before any resumes are submitted to FINRA. Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA.

Equal Opportunity and Affirmative Action Employer:

FINRA is an 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 ) prohibiting discrimination against qualified individuals with disabilities and protected veterans, respectively.

Join FINRA's Special Investigations Unit and lead the fight against AML and fraud in the securities industry. As a Senior Director, you will have the opportunity to develop and execute strategies, collaborate with industry and external stakeholders, and lead a team of highly skilled specialists. Apply now and be part of a dynamic and diverse organization dedicated to protecting investors and promoting market integrity.

Not specified

Comprehensive health, dental, and vision insurance, basic and supplemental life insurance, disability insurance, legal insurance, 401(k) plan with company match, tuition reimbursement, time off for health and wellness, volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of family member leave, childbirth and parental leave, 9 paid holidays.

Not specified

Leadership, AML and Fraud Investigations, Risk Assessment, Data Analytics, Communication, Team Building, Strategic Thinking, Regulatory Compliance, Financial Analysis, Public Speaking, Networking

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 on the FINRA Careers website.

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. Significant experience in securities, compliance, or financial regulation. Expert knowledge of AML and fraud related issues and regulations.

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