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Investigative Director, Specialist Team
4 months ago
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 risks through examinations, consultations and regulatory work. This includes otherwise researching and otherwise monitoring for updates to rules, regulations, guidelines, intelligence, advisories, material regulatory and law enforcement cases, records, and databases to identify data and intelligence relevant to risk(s) relevant to AML's examination program and other regulatory work.
- Leads, supervises or participates in the development and delivery of training and presentations for FINRA member firms, investors, other regulators, law enforcement and/or national security agencies. This includes serving as a presenter or panelist at industry events relevant to risk(s) covered by AML, participating in the development and execution of the FINRA preventive compliance programs, leading, overseeing or participating in the development and delivery of external training.
- Establishes and maintains positive and mutually beneficial working relationships with federal and state regulatory and law enforcement agencies with respect to risk(s). This includes communicating with other regulators and agencies regarding AML investigations, intelligence or other regulatory work relevant to the regulators or agencies, and effectively communicates with FINRA member firms and other external stakeholders on AML specific intelligence and subject matter expertise.
- Identifies, leads, supervises or participates in special projects. This includes testing and developing new analytics, investigative tools or processes relevant to risk(s), conceptualizing business cases and operationalizing approved business cases.
Education/Experience Requirements:
- Bachelor’s degree or equivalent relevant experience required; advanced degree or law degree, preferred.
- 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 NCFC.
- Demonstrated ability to produce high-quality written work product.
- Highly advanced 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.
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 $146,200, Maximum Salary $296,100
Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800
Colorado/Hawaii: Minimum Salary $127,300, Maximum Salary $246,600
New York, NY: Minimum Salary $152,700, Maximum Salary $296,100
Washington: Minimum Salary $127,300, Maximum Salary $283,800
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