Senior Director, Special Investigations Unit

8-10 yrs required

Full-time

No

Senior Director, Special Investigations Unit - Any FINRA Location
Experience: Significant securities, compliance, or financial regulatory experience
Salary: Based on location and factors such as skill set, level of experience, and education
Job Type: Full time
Education: Bachelor's degree in relevant field preferred, advanced degree or certification a plus

H1: Senior Director, Special Investigations Unit
H2: Oversee AML and Fraud Investigations

FINRA, the Financial Industry Regulatory Authority, is seeking a Senior Director to lead their Special Investigations Unit (SIU) at any of their locations. This is a senior level leadership position responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions within FINRA.

The Senior Director will be responsible for leading a team of AML and fraud specialists, providing guidance and feedback, and fostering a team-oriented culture. They will also be responsible for developing and implementing a strategy to identify and mitigate AML and fraud risks, as well as providing subject matter expertise to external parties on regulatory issues related to AML and fraud.

The ideal candidate will have significant securities, compliance, or financial regulatory experience and a strong knowledge of AML and fraud related risks and regulations. A Bachelor's degree in a relevant field is preferred, and an advanced degree or certification is a plus.

Key Responsibilities:

- Lead a team of AML and fraud specialists, providing guidance and feedback
- Develop and execute a strategy to identify and mitigate AML and fraud risks
- 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

Education/Experience 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
- Highly advanced and effective written and verbal communication skills
- Outstanding interpersonal and presentation skills
- Promotes a diverse and inclusive culture
- 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.

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees may be eligible for a discretionary bonus in addition to base pay
- Comprehensive health, dental, and vision insurance provided
- Immediate participation and vesting in a 401(k) plan with company match
- Tuition reimbursement and many other benefits offered

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days
- Military leave, jury duty leave, bereavement leave, and more

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 )

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

The Senior Director, Special Investigations Unit position at FINRA is a senior level leadership role responsible for overseeing the anti-money laundering and anti-fraud investigative functions within the organization. This role requires a strong understanding of AML and fraud related risks and regulations, as well as the ability to lead and develop a team of AML and fraud specialists. The ideal candidate will have significant securities, compliance, or financial regulatory experience and a Bachelor's degree in a relevant field. FINRA offers competitive salaries based on location and factors such as skill set, level of experience, and education, as well as comprehensive benefits and time off policies.

Not specified.

Comprehensive health, dental, and vision insurance, life insurance, disability insurance, retirement plans, time off, paid leave, tuition reimbursement, and other benefits.

Not specified.

Leadership, Team Management, Strategic Thinking, AML and Fraud Investigation, Regulatory Compliance, Data Analytics, Risk Management, Communication, Collaboration, Presentation, Analytical Skills

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.

To be considered for this position, please submit an application on the FINRA Careers website.

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

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