Director, NCP - Intake, Assessment and Investigations - All FINRA Locations

The National Cause Program – Intake, Assessment and Investigations Group (IAI) is the centralized unit for the intake, review, and analysis of regulatory intelligence received through a variety of sources, including internal sources, regulatory tips, customer complaints, firm regulatory filings, arbitration filings, and referrals from other regulators.

The Director, National Cause Program – Intake, Assessment and Investigations (IAI), is responsible for the oversight of the investigation of Events received that contain credible basis of an Outside Business Activities (OBA) or Private Securities Transaction (PST) violation. This role develops and supervises a specialized team charged with progressing preliminary investigations and full investigations on OBA and PST matters. This is a senior-level professional position supervising specialist investigative staff of various levels, defining assigned roles, increasing skills, and working under minimal guidance. The Director is an expert in identifying risks, developing regulatory strategies, and managing staff executing those strategies to completion to address the identified risks. This role is also responsible for ensuring the team effectively manages the evolving caseloads and ensuring timely completion of matters.

Essential Job Functions:

• Oversees team in the execution of preliminary investigations and investigations to achieve department-wide and corporate goals.
• Leads a team that works collaboratively yet independently to quickly disposition Matters as No Further Action (NFA), Cautionary Action Letter (CAL), or Enforcement referral.
• Collaborate with Enforcement including facilitating timely consultations and referrals.
• Monitors progress of investigations, team caseloads and corrects any imbalances, and ensures timely completion of matters.
• Monitors department dashboards daily to ensure Tiering Methodology and aging standards are monitored and issues addressed.
• Reviews and approves teamwork product, ensuring documentation and scope of review is complete.
• Responsible for the tactical execution of the Program.
• Develops investigative plans and approaches towards execution of investigations (both at the preliminary stage and full investigation stage).
• Responsible for mentoring, coaching, and training team members.
• Facilitates discussions with external regulators and responses to oversights and access requests.
• Supports department leadership; serves as an advocate for team members.
• Identifies and escalates situations that may present significant regulatory issues or potential programmatic risk, impact other FINRA business units, or represent emerging regulatory or market trends and proactively develop potential solutions.
• Assists in development of department policies and procedures.
• Consults on certain high-risk and/or high-complexity intake, preliminary investigation, and investigations, as required by established policies and procedures.
• Participates in and directs outreach with member-firms as part of public forums.

Other Responsibilities:

• Leads and/or participates in special projects, as appropriate.

Education/Experience Requirements:

• Bachelor’s degree and 10 years of experience in the securities/financial industry, or equivalent combination of education and relevant work experience. Advanced degree is a plus.
• Experience leading complex investigations in a high-volume environment with the ability to quickly pivot based on changing business priorities.
• Experience collaborating and driving outcomes in a regulatory environment. Established experience working with FINRA Enforcement a plus.
• Experience in the securities/financial industry with substantive knowledge of regulatory compliance in positions of increasing responsibility.
• Expert knowledge of relevant FINRA rules and the federal securities laws and demonstrated investigative experience.
• Expert knowledge of the securities markets and member firm operations and its books and records.
• Demonstrated ability to interact effectively and in a positive manner with management, peers, and other constituencies to accomplish the mission and goals of the Department.
• Demonstrated ability to produce high-quality written work product.
• Excellent written and verbal communication skills, including outstanding interpersonal and presentation skills.
• Highly advanced organizational skills with excellent attention to details, including an ability to work quickly on multiple time-sensitive matters.

Working Conditions:

• Hybrid office environment.
• Overnight travel and extended hours as needed.

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