Senior Director, Special Investigations Unit

10-15 yrs required

Full-time

No

Organization: FINRA
Department: Special Investigations Unit
Job Title: Senior Director, Special Investigations Unit
Experience: Significant securities, compliance, or financial regulatory experience
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

H1: Senior Director, Special Investigations Unit - Any Finra Location
H2: Essential Job Functions

- Leads a team of highly skilled AML and fraud specialists
- Develops and implements a data analytics strategy
- Provides subject matter expertise to external parties
- Ensures timely training, support, and intelligence is delivered
- Collaborates with other regulators or law enforcement agencies
- Reviews and approves investigation-related reports and letters
- Represents FINRA at relevant industry events

H2: Education/Experience Requirements

- Bachelor's Degree or equivalent combination of education and experience
- Significant securities, compliance, or financial regulatory experience
- Highly advanced knowledge analyzing, investigating, and thinking strategically about complex AML and fraud related issues

H2: 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

H2: 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
- Fosters culture of accountability at all levels
- Demands clarity and closure
- Facilitates team commitment to goals and objectives

H2: Time Off and Paid Leave

- 15 days of paid time off, 5 personal days, and 9 sick days (all pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Other paid leaves include military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- Full-time employees receive 9 paid holidays

H2: Important Information

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees may only maintain securities accounts at firms that provide an e-feed of data to FINRA
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism

H2: 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

H2: 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 )

Not specified

Comprehensive health, dental, and vision insurance, life insurance, short- and long-term disability, retirement plans, tuition reimbursement, time off for volunteer service, and paid holidays.

Not specified

Leadership, Team Management, AML and Fraud Investigations, Risk Management, Consultation, Training, Intelligence Sharing, Regulatory Strategy Development, Public Speaking, Data Analytics

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 through the FINRA Careers site.

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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