Investigative Director, Specialist Team

3 weeks ago

Boca Raton, United States Finra Full time

The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/investigations and other reviews related to finances, policies, procedures, practices, and products offered by FINRA member firms and their associated persons. This is a senior-level professional position supervising specialist examination staff of all levels, defining assigned roles, increasing skills, and working under general guidance. The Director is an expert in identifying risks, developing regulatory strategies and managing staff executing those examination strategies to completion to address those risks. The Director also leads, supervises and/or participates in, and ensures staff and the unit conducts the seven core functions, including conducting examinations, advising on examinations, providing staff training and other support, informing industry and external stakeholders, monitoring area of specialization, assisting risk monitoring and participating in special projects.

Essential Job Functions:

- Supervises staff in the execution of complex AML investigations to achieve department-wide and corporate goals.
- Monitors progress of complex AML investigations, staff caseloads and corrects any imbalances, and ensures timely completion of matters.
- Reviews and approves staff final work product.
- Responsible for mentoring, coaching, and training staff, as appropriate.
- Responsible for staff development and for the assessment of staff performance.
- Identifies areas of improvement for department and leads special projects.
- Represents FINRA with external regulators and responds to oversights and access requests.
- Implements specialist strategy in support of department leadership; serves as an advocate for staff.
- 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.
- Develops department policies and procedures.
- Supervises staff in the execution of complex AML investigations to achieve department-wide and corporate goals. This includes assignment and projection of examinations; approval of the scope of investigations; monitoring the progress and execution of the investigation, including supervision of data analysis, written work product and reviews of documentation provided during the course of an investigation; review of the investigation reports, documents and schedules; review of the investigation report(s); supervising AML staff and/or participates in formal and informal interviews of member firm personnel, member firm customers, other FINRA staff, and staff of other regulatory agencies to gather intelligence pertinent to AML investigations; and determining appropriate disciplinary action or disposition resulting from the investigation findings. As needed, the AML Investigative Director testifies at and participates in hearings, supervises the preparation of certain hearing exhibits and materials or deposition documents.
- Assists Senior Director in the running and administration of cross departmental investigative tools.
- Performs quality assurance reviews to ensure that deficiencies identified by the SEC, Internal Audit, and Peer Review reports are objectively evaluated and corrective action is implemented.
- Helps to establish and maintain desired work environment and culture. Facilitates regular and ongoing discussions with individuals to ensure understanding of how individual achievements, behaviors and actions contribute to Department and Division goals.
- Fosters an environment where open dialogue and feedback is sought and valued.
- Coordinates and communicates effectively with other FINRA personnel. Recommends new opportunities for enhancing SIU or FINRA processes and programs, and participates in the development and implementation of improvements and best practices.
- Leads, supervises or participates in Risk Monitoring projects to detect AML risk(s). This includes, as warranted, the development and execution of Risk Monitoring and surveillance reviews to identify high risk activity, potential suspicious activity and assisting in the determining any recommended regulatory responses required. Risk Monitoring assistance can be targeted to a specific firm or registered person, or involve an assessment across a Firm Group or the industry as a whole.
- Monitors risk areas relevant to investigations or other core functions and raises notable trends, AML risks and/or issues applicable to investigations or other core functions to Senior Director. Assists in developing strategies around new and emerging AML risks identified and supervises execution around recommendations related to those risk

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