Senior Director, Special Investigations Unit

Full-time

No

Senior Director, Special Investigations Unit - Any FINRA Location

Full Time

R-007744

Overview:

The Senior Director within FINRA’s Special Investigations Unit (SIU) will be responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This includes leading a team of highly skilled AML and fraud specialists, developing and executing a strategy to accomplish department objectives, and providing subject matter expertise to external parties. The Senior Director will also work closely with other regulators and law enforcement agencies to mitigate priority threats and share intelligence.

Key Responsibilities:

- Oversee the AML and anti-fraud investigative functions within the SIU, including leadership of specialist AML Investigations teams and Anti-Fraud Investigations (AFI) team.
- Develop and execute a strategy to accomplish department objectives, define individual staff roles, and provide general direction and guidance.
- Provide subject matter expertise to external parties, including firm membership, on high-level regulatory issues related to AML and fraud.
- Collaborate with other regulators and law enforcement agencies to mitigate priority threats and share intelligence.
- Review and approve investigation-related reports and letters.
- Represent FINRA at relevant 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 analyzing, investigating, and thinking strategically about complex AML and fraud related issues.
- 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.
- 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, including outstanding interpersonal and presentation skills.

Salary Information:

The salary range for this position varies based on location and other factors such as skill set, level of experience, and education. The proposed salary ranges for the corresponding locations are as follows:

- 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

How to Apply:

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

Disclaimer:

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

Important Information:

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

FINRA also requires employees to execute an Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.

Time Off and Paid Leave:

FINRA offers a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). We also provide two volunteer service days (based on full-time schedule) to support our communities. Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

Equal Opportunity 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 ), which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

Search Firm Representatives:

FINRA does not accept unsolicited resumes from search firms for employment opportunities. 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.

Apply Now:

To apply for this position, please visit the FINRA Careers website. If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.

Not specified

Comprehensive health, dental and vision insurance, basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal, immediate participation and vesting in a 401(k) plan with company match, eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, two volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, nine paid holidays.

Not specified

Leadership, Staff development, Data analytics, Communication, Strategic thinking, Supervision, Execution, Regulatory compliance, Risk assessment, Decision making, Interpersonal skills, Presentation skills, Regulatory intelligence, Industry knowledge, Law degree, Advanced degree, Relevant certification, Fraud, Investment, Confidentiality, Invention, Diversity and inclusion, Accountability, Team building, Culture, Complex issues, Rules and regulations, Financial industry, Business administration, Data analytics methods, Procedure, Tools, Trust, Alignment, High performance.

Bachelor's Degree or equivalent experience 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 the FINRA Careers website.

Qualification and Experience Bachelor's Degree or equivalent experience 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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