Investigative Director, MRTS-Market Investigations

The Investigative Director (Director) manages a team of investigators developing the factual record for Market Regulation cases of various sizes and levels of complexity where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation.

The Director manages the investigators’ dockets; ensures investigations are comprehensive and timely; and provides oversight, direction, and active management of the investigations to achieve department-wide and corporate goals.

The Director provides timely and meaningful feedback to the Surveillance and Market Intelligence function of Market Regulation, as well as fosters positive and effective working relationships with the Enforcement Department and other Regulatory Operations (RegOps) partners.

Essential Job Functions:


* Manages a team of individual contributors and is accountable for meaningful career development conversations and regular coaching and feedback.  


* Directs the execution of investigations and approves investigative findings and analysis for quality, accuracy, and clarity for a team of investigators and across the applicable Regulatory Rule Area.   


* Responsible for managing their team’s day to day operations, demonstrates advanced expertise of the work in their specific area, and has a general understanding of a broader scope of work in related teams. 


* Communicates with top management regarding the progress of investigations and staff caseloads, and subsequently develops plans for the timely resolution of cases. 


* Effectively partners and collaborates with Enforcement on investigations. 


* Proactively identifies opportunities for the expansion of the regulatory program within the Market Regulation Department by strategically identifying trends, new or expanded areas of review, and providing feedback on cases and surveillance output. 


* Identifies and escalates significant regulatory issues, programmatic risks, emerging regulatory or market trends, and impacts other FINRA business units. 


* Executes changes to the regulatory program within the applicable Regulatory Rule Area in response to new rules and initiatives. 


* Represents the applicable Regulatory Rule Area by providing specific subject matter expertise and intelligence across RegOps teams.  


* Participates in special projects, surveys, committee assignments, and technology initiatives impacting Market Investigations. 

Other Responsibilities:


* Assesses the effectiveness of the procedures and escalates opportunities for improvements, when appropriate. 

Education & Experience Requirments:


* Bachelor’s degree and a minimum eight (8) years of experience in the securities/financial services industry required with substantive knowledge of regulatory compliance in positions of increasing responsibilities; or an equivalent com...