Senior Director, Investigations - All FINRA Locations

To lead and implement the strategic direction of the Cause Investigations program for a particular firm grouping or groupings, and collaboratively across firm groupings.

Essential Job Functions:

• Develops and implement strategic plans and initiatives for their firm group
• Collaborates and regularly coordinates with Examinations, HRRU, and Risk Monitoring counterparts to share intelligence and trends, provide feedback, suggest improvements, and, as needed, facilitate collaborative investigative/exam work
• Adapts to the changing regulatory and/or business environment of their firm group(s)
• Provides strategic and tactical advice to achieve firm group goals
• Represents FINRA and Member Supervision in interactions with internal and external constituencies
• Manages Investigation Directors within their firm group
• Ensure that investigations are executed in a fulsome and efficient manner
• Work with Training staff to identify training needs and, as needed, help deliver training
• Collaborate with Enforcement including facilitating timely consultations and referrals 
• Participate in industry conferences and meetings in support of FINRA outreach initiatives
• Participate in special projects, surveys, committee assignments and technology initiatives impacting Cause Investigations
• Ensure that the Investigations team is recruiting, developing, and retaining staff consistent with Member Supervision business needs.

Education/Experience Requirements:

• MBA, JD, other graduate degree and/or relevant industry certification(s) considered
• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Data Analytics, Business Administration or related fields preferred.
• Significant securities, compliance or financial regulatory experience, and Significant experience managing projects and/or people
• Functional knowledge of FINRA's nine risk fundamentals and how they relate to their respective firm group
• Advanced knowledge of securities rules and regulations and how they relate to their respective firm group
• Advanced knowledge of firm group business models, business lines, customer bases, products and services
• Advanced knowledge of rule changes and interpretations and how they relate to their respective firm group
• Advanced knowledge of industry wide events and trends affecting their respective firm group
• Expert knowledge of FINRA departments and their mandates
• Expert ability to recognize and understand the relationship and impact between regulatory areas
• Expert ability to effectively liaise with internal and external parties
• Expert ability to identify and prioritize risk
• Expert interpersonal and leadership skills
• Expert ability to inspire and motivate direct reports
• Expert relationship building skills
• Expert ability to make timely decisions

Working Conditions:

• Normal office environment with some travel necessary.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, 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.

CA: Minimum Salary $171,900, Maximum Salary $351,200

CO/HI/MN/VT*: Minimum Salary $149,600, Maximum Salary $292,600

IL*: Minimum Salary $164,500, Maximum Salary $322,200

Jersey City, NJ/NY, NY: Minimum Salary $179,600, Maximum Salary $351,200

MD/Washington, DC: Minimum Salary $171,900, Maximum Salary $336,600

WA: Minimum Salary $149,600, Maximum Salary $336,600

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#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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