Senior Director, Special Investigations Unit - Any Finra Location

The Senior Director within FINRA's Special Investigations Unit (SIU) oversees the anti-money laundering (AML) and anti-fraud investigative functions to include leadership of the specialist AML Investigations teams and Anti-Fraud Investigations (AFI) team. These SIU teams conduct investigations and examinations, provide advice and consult to support other FINRA components dealing with AML and fraud issues, assist in the development of training for FINRA staff and industry in the areas of AML and fraud, and share intelligence with internal and external stakeholders to mitigate priority threats. Other support functions may include informing industry and external stakeholders, monitoring the area of specialization, assisting key internal stakeholders, and participating in special projects.

This is a senior level leadership position supervising a team of highly skilled AML and fraud specialists and will be expected to develop and execute a strategy to accomplish department objectives, define individual staff roles, provide general direction and guidance, develop skillsets of staff, and identify 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.

• Leads and consults on AML and fraud thematic reviews and/or investigations.

• 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, including firm membership, on high-level regulatory issues related to AML and fraud. This could include panel discussions at conferences, regional roundtables, issuing information notices to firms or discussing effective practices.

• 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 and overall provide general consultative advice on AML and fraud concerns.

• 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.

For work that is performed in CA, Washington DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate's skill set, level of experience, education, and internal peer compensation comparisons.

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

#LI-Hybrid

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

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.

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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*

FINRA encourages its employees to focus on their health and wellness in many ways, including through 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). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes 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); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

• Based on full-time schedule

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 (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code's investment and securities account restrictions, and new employees must comply with those investment restrictions-including disposing of any security issued by a company on FINRA's Prohibited Company List or obtaining a written waiver from their Executive Vice President-by the date they begin employment with FINRA. 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.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA's Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company's policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

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 as appropriate, or upon the protected status of the person's relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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