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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileSenior Vice President & Deputy to the Head of Enforcement Duties: Responsible for advising the Head of Enforcement on high priority Enforcement investigations, formal actions, and litigation. Spot policy and legal issues, communicate and operationalize a uniform analytical framework to achieve consistent analysis and results, and lead change across the department. Assist the Head of Enforcement in overseeing the integration of the legacy Enforcement and Market Regulation Legal groups. Consults with teams across the Enforcement department on high-priority matters, including matters that present: (a) substantial risk to investors or market integrity, such as cases involving high risk registered representatives or high risk conduct such as fraud; (b) novel legal or policy issues; and (c) the potential for substantial sanctions such as expulsions, bars, or significant fines or restitution amounts. Ensures that teams across Enforcement analyze the facts and law in high-priority matters in a consistent and transparent manner, including identifying and weighing relevant factors in a way that results in foreseeable outcomes. Does not directly supervise Enforcement staff but is expected to provide performance feedback regarding staff members as appropriate. Participates with the Head of Enforcement and other senior Enforcement executives in defining program goals and objectives for the entire department. Interfaces with senior executives in other departments to further FINRA’s regulatory and business objectives. Takes a leadership role in the integration of the legacy Enforcement and Market Regulation Legal staff, including by identifying opportunities for increased efficiency and effectiveness in business processes, communications, metrics, and training, among other areas. Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify high-priority matters; Meeting with Enforcement teams across all Enforcement locations to discuss high-priority matters throughout the lifecycle of the matter; Facilitating the application of a framework to identify and weigh relevant factors in a consistent manner across teams and locations; Reporting to the Head of Enforcement on progress, issues, and decisions in high-priority matters; Assisting in the assignment and supervision of certain high-priority matters; Leading change in the Enforcement program by focusing on risk-based Enforcement decision-making and analytical rigor; Enhancing the working relationships and teamwork between Enforcement and other FINRA departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs; Representing the Head of Enforcement with other regulatory agencies and outside organizations, as appropriate; Leading special projects and producing special reports at the request of the Head of Enforcement; Attending and speaking at outside legal and industry regulatory conferences and meetings and speaking to the press and the industry on enforcement matters as needed.
Qualification and Experience
Qualifications: Law Degree, superior academic credentials, and admission to the bar of the highest court of the District of Columbia or state. 10+ years of related complex litigation experience in a regulatory or compliance role, as an attorney or investigator, comprised of: 7+ years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters. 7+ years managing, leading and directing employees in a senior capacity in a team environment. Must demonstrate superior investigative and legal skills and be able to prioritize a complex workload, make difficult decisions, and resolve difficult issues regarding the Department. Excellent, interpersonal, organizational, and oral and written communication skills are essential.
Job Number: 006180