Senior Director, Special Investigations Unit

5-10 yrs required

Full-time

No

SEO Friendly Job Title: Senior Director, Special Investigations Unit

H1 Heading: Senior Director - Special Investigations Unit

H2 Headings: Essential Job Functions, Education/Experience Requirements, Knowledge Requirements, Skills Requirements

Senior Director, Special Investigations Unit - Any FINRA Location

Full-Time Position

Job Requisition ID: R-007744

Posted Today

Organization: FINRA

Department: Special Investigations Unit

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

Job Summary:

The Senior Director within FINRA’s Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions, providing leadership to specialist AML Investigations teams and the Anti-Fraud Investigations (AFI) team. This senior level leadership position will be responsible for developing and executing a strategy to accomplish department objectives, providing guidance and feedback to staff, and identifying professional development opportunities for staff.

Essential Job Functions:

- Leads a team of highly skilled AML and fraud specialists, providing guidance and feedback to staff, developing staff’s skills and depth of knowledge, and creating and fostering a team-oriented culture.
- Identifies and develops regulatory strategies around new and emerging AML and fraud related risks and threats and supervises the execution of investigations, consultations, and regulatory work as they relate to those identified risks.
- Develops and implements a data analytics strategy to identify money laundering, fraud, and other suspicious conduct involving FINRA member firms and/or associated persons.
- Provides subject matter expertise to external parties on high-level regulatory issues related to AML and fraud.
- Ensures timely training, support, and intelligence is delivered to FINRA’s Risk Monitoring, Examination and other departments as needed.
- Collaborates with the Member Application Program (MAP) team to analyze the AML or fraud-related risks of new firms and provide feedback on related controls established.
- Regularly collaborates with other regulators or law enforcement agencies such as the SEC, FRB, States, CFTC, NFA, FBI, DHS, Treasury components, and other stakeholders.
- Reviews and approves investigation-related reports and letters.
- Represents 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.
- Promotes a diverse and inclusive culture, encourages open dialogue and fosters healthy discussions when faced with conflict.
- Highly advanced and effective written and verbal communication skills, including outstanding interpersonal and presentation skills.
- Fosters culture of accountability at all levels.
- Demands clarity and closure.
- Facilitates team commitment to IFF’s goals and objectives.

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

Please note: 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.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at or by email at . Please note that this process is exclusively for inquiries regarding application accommodations.

Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.

Time Off and Paid Leave*:

- 15 days of paid time off
- 5 personal days
- 9 sick days (all pro-rated in the first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave
- Jury duty leave
- Bereavement leave
- Voting and election official leave for federal, state or local primary and general elections
- Care of a family member leave (available after 90 days of employment)
- Childbirth and parental leave (available after 90 days of employment)
- 9 paid holidays (full-time employees)

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. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest, and to authorize their broker-dealers to provide FINRA

Not mentioned

Comprehensive health, dental, and vision insurance, basic and supplemental life insurance, short and long-term disability, long-term care, business travel accident insurance, 401(k) plan with company match, FINRA-funded retirement contribution, 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 a family member leave, childbirth and parental leave, 9 paid holidays.

Not mentioned

Leadership, team building, communication, strategic thinking, data analysis, regulatory compliance, risk management, intelligence gathering, training and development, public speaking, performance evaluation, conflict resolution, goal setting, recruiting, employee development, diversity and inclusion, employee benefits, investments, financial disclosures, confidentiality, nepotism, search firm management, Equal Opportunity and Affirmative Action compliance, disability rights, veteran rights.

Bachelor's degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related field preferred; advanced degree, relevant certification, or law degree a plus.

Submit an application on the FINRA Careers site.

Qualification and Experience Bachelor's degree in Accounting, Finance, Economics, Business Administration, Data Analytics or related field preferred; advanced degree, relevant certification, or law degree a plus. Significant securities, compliance, or financial regulatory experience required.

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