Director, Investigations - Crypto Exam and Regulatory Conduct

The Director of the Crypto Exam and Regulatory Conduct team is responsible for leading a highly skilled team of investigators that focus on crypto-related investor protection risks, market conduct rules and regulatory obligations. The Director of the Crypto Exam and Regulatory Conduct team oversees the end-to-end execution of investigations related to crypto-related investor protection risks, market conduct rules and regulatory obligations that require a range of onchain investigative techniques - including onchain research and analysis, blockchain analytics and forensics, smart contract auditing – as well as traditional investigative techniques such as review and assessment of open source intelligence, data analysis and analytics and the review of books and records.

The Director of the Crypto Exam and Regulatory Conduct team oversees initiatives focused on crypto-related investor protection risks, market conduct rules and other regulatory obligations within the securities industry, including engagement and intelligence sharing initiatives with member firms, regulatory partners, law enforcement and internal and external stakeholders. The Director of the Crypto Exam and Regulatory Conduct serves as a subject matter expert for FINRA on crypto-related investor protection risks, market conduct risks and other regulatory obligations within the securities industry, providing guidance strategic support to Investigations leadership, assisting in the development and delivery of training for FINRA staff and member firms, and speaking at industry and FINRA sponsored events to raise awareness of priority and emerging areas of focus and effective practices for member firms to consider as part of their risk-based compliance programs.

The Director of the Crypto Exam and Regulatory Conduct maintains and cultivates team expertise in cryptocurrency, tokenization, blockchains and other onchain technologies as well as crypto asset compliance to address complex regulatory challenges; foundational knowledge includes familiarity with fraud schemes, money laundering tactics, and other threat vectors in the crypto space, including on/offchain vulnerabilities.

• Lead & Manage Investigations — Provide leadership, oversight, direction, and active day-to-day management of a team of investigators handling a set of misconduct matters; ensure investigations are thorough, strategically sound, and supported by clear and sufficient evidence using accepted and reliable methodologies; and provide guidance on investigative strategy.
• Drive Timely Case Resolution — Monitor case progress, aging, and staff caseloads; identify and correct caseload imbalances; prioritize high-risk and high-priority matters and ensure effective and efficient resolution.
• Review & Approve Work Product — Review and approve investigative findings, analyses, reports, dispositions, investigative summaries, and referrals to enforcement and external entities, ensuring all written work product is high-quality, professional, and persuasive.
• Identify, Escalate & Resolve Regulatory Issues — Proactively identify and elevate regulatory issues, novel fact patterns, programmatic risks, emerging market trends, and management needs; develop and advocate for potential solutions in partnership with the Senior Director.
• Foster Cross-Functional Collaboration — Build and maintain effective working relationships with Enforcement and other Reg Ops partners; facilitate active information-sharing and a coordinated approach to investigations and regulatory outcomes.
• Develop People & Build Team Capability — Mentor, coach, and develop staff through performance feedback, training opportunities, and targeted assignments; monitor performance and ensure the team has the needed resources to support continuous improvement; and foster a culture of accountability, innovation, and open dialogue.
• Support Program Strategy & Continuous Improvement — Lead and participate in developing and implementing program strategy, including business process improvements, technology enhancements, and resource allocation; initiate or recommend thematic reviews, sweeps, and other program…