Senior Director, Special Investigations Unit

5-10 yrs required

Full-time

No

Senior Director, Special Investigations Unit - Any Finra Location

Full-time position

Job Requisition ID: R-007744

FINRA (Financial Industry Regulatory Authority) is seeking a Senior Director for their Special Investigations Unit (SIU) to oversee anti-money laundering (AML) and anti-fraud investigations. This senior level leadership position requires experience in securities, compliance, or financial regulatory work and a strong understanding of AML and fraud related issues. The Senior Director will lead a team of highly skilled AML and fraud specialists, develop and execute department objectives, and collaborate with various internal and external stakeholders.

Key Responsibilities:

- Lead a team of highly skilled AML and fraud specialists, providing guidance and feedback to staff and fostering a team-oriented culture.
- Develop and implement regulatory strategies to address new and emerging AML and fraud threats.
- Conduct AML and fraud thematic reviews and investigations.
- Utilize data analytics to identify money laundering and fraud activities.
- 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.

Requirements:

- Bachelor's Degree 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 of AML and fraud related issues.
- Substantive knowledge of relevant rules, regulations, and risks pertaining to AML and fraud.
- Strong communication and leadership skills.
- Ability to build and lead high performing teams.

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

Applicants should submit an application to be considered for this position. FINRA offers a comprehensive benefits package including health, dental, and vision insurance, a 401(k) plan with company match, and various other benefits.

FINRA is an Equal Opportunity and Affirmative Action Employer, and abides by the requirements of 41 CFR ) and 41 CFR ). This means that 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 also prohibits discrimination against qualified individuals with disabilities and protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment these individuals.

Not specified

Comprehensive health, dental, and vision insurance, life insurance, disability insurance, retirement plan, tuition reimbursement, and other benefits.

Not specified

Leadership, Team Management, AML and Fraud Investigations, Financial Analysis, Strategic Thinking, Regulatory Strategy, Data Analytics, Communication, Collaboration, Risk Assessment, Training

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.

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