Senior Director, Special Investigations Unit

Full-time

No

Summary:

The Senior Director, Special Investigations Unit at FINRA is responsible for overseeing the anti-money laundering and anti-fraud investigative functions. This senior level leadership position requires a Bachelor's degree or equivalent experience in a related field and significant experience in securities, compliance, or financial regulatory work. The Senior Director will lead a team of highly skilled AML and fraud specialists, develop and implement strategies to address AML and fraud risks, and collaborate with other regulators and stakeholders. The position offers a competitive salary and benefits package, and applications are accepted on an ongoing basis.

Job Title:

Senior Director, Special Investigations Unit

Experience:

- Bachelor's degree or equivalent experience in a related field
- Significant experience in securities, compliance, or financial regulatory work

Responsibilities:

- Oversee the anti-money laundering and anti-fraud investigative functions
- Lead a team of highly skilled AML and fraud specialists
- Develop and implement strategies to address AML and fraud risks
- Collaborate with other regulators and stakeholders
- Provide subject matter expertise to external parties on regulatory issues related to AML and fraud
- Ensure timely training, support, and intelligence is delivered to other FINRA departments
- Represent FINRA at relevant industry events

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

Education Requirements:

- Bachelor's degree or equivalent combination of education and experience
- Advanced degree, relevant certification, or law degree a plus

Skills and 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
- Highly advanced knowledge analyzing, investigating, and thinking strategically about complex AML and fraud related issues
- 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
- Knowledge of data analytics methods, procedures, and tools a plus

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic life, accidental death and dismemberment, and supplemental life insurance
- Short- and long-term disability insurance
- Long-term care insurance
- Business travel accident insurance
- Tuition reimbursement
- 401(k) plan with company match
- Additional retirement contribution
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year)
- 2 volunteer service days (based on full-time schedule)
- Military leave, jury duty leave, bereavement leave, and other paid leave
- 9 paid holidays (based on full-time schedule)

Apply:

Applications are accepted on an ongoing basis.

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.

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- Essential Job Functions
- Education/Experience Requirements
- Knowledge Requirements
- Skills Requirements
- Salary Information
- Education Requirements
- Skills and Knowledge Requirements
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- Apply
- FINRA is an Equal Opportunity and Affirmative Action Employer

Not specified

Comprehensive health, dental, and vision insurance; Life, accidental death and dismemberment, and disability insurance; 401(k) plan with company match; Retirement contribution; Tuition reimbursement; Paid time off; 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; Paid holidays

Not specified

Leadership, Team Management, Strategic Thinking, Data Analytics, Communication, Collaboration, Subject Matter Expertise, Risk Management, Training and Development, Relationship Building

Bachelor's Degree or equivalent combination of education and experience; 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; Advanced degree, relevant certification, or law degree a plus

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