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Organization TypePublic Interest
Years of Experience
Date Last Verified
Senior Vice President of Market Regulation Enforcement The candidate supervises the specialized attorneys and managers who are dedicated to counseling Market Regulation staff and resolving disciplinary matters arising from surveillance and examinations by the Department of Market Regulation. Provides senior level guidance on the appropriate resolution of Market Regulation matters, and facilitates an ongoing dialogue about decision-making to achieve timely and foreseeable Enforcement outcomes in accordance with the department’s priorities and principles. Works closely with the EVP and the Deputy Head of Enforcement in monitoring and advising on high-impact and noteworthy investigations that originate from the Market Regulation docket. Will have primary responsibility for ensuring that Enforcement provides exemplary client service to company’s RSA clients, and is charged with having a deep specialized understanding of each RSA client’s rules, program, priorities and needs. Also primarily responsible for Enforcement’s daily collaboration with the Department of Market Regulation, and works closely with Market Regulation leadership to facilitate effective communicate and partnership. Assists the EVP of Enforcement to define examination- and risk-based program goals and priorities, and to communicate them to the entire department. Works closely with the specialized Member Regulation unit to achieve outcomes that are consistent with the examination program’s objectives and risk-based approach, facilitating decision-making that is consistent with company’s priorities, guiding principles, and Sanction Guidelines. Works closely with Member Regulation senior management to facilitate effective daily collaboration, including early onboarding and counseling by Enforcement attorneys, efficient sharing of documents and information, effective investigations and timely resolutions. Works closely with the Deputy Chief and other SVPs of Enforcement to effectively communicate the department’s priorities and provide real-time feedback and updates to the department on high risk firms, emerging issues, new strategies for urgent and high risk matters, challenges and “lessons learned.” Manages the Chief Counsels who supervise directors and attorneys specializing in Member Regulation matters, ensuring maximum productivity and effectiveness with a large and complex caseload. Oversees the recruitment and professional development of the managers and attorneys in the group, and is responsible for the culture and work ethic of the team. Assists the EVP of Enforcement to define market regulation-related program goals and priorities, and to communicate them to the entire department. Works closely with the specialized Market Regulation unit to achieve outcomes that are consistent with each client’s priorities and programs. Focuses on decision-making that is consistent with company’s priorities, guiding principles, and Sanction Guidelines. In RSA and cross-market matters, focuses on recommending resolutions that achieve each client’s objectives while minimizing the impacts on member firms of multiple regulatory requests and investigations. Works closely with Market Regulation senior management to facilitate effective daily collaboration, including early onboarding and counseling by Enforcement attorneys, efficient sharing of documents and information, effective investigations and timely resolutions. Works closely with the Deputy Chief and other SVPs of Enforcement to effectively communicate the department’s priorities and provide real-time feedback and updates to the department on legal developments, achievements, emerging issues, RSA client developments, challenges and “lessons learned.” Manages the Rockville-, Chicago- and New York-based Chief Counsels who supervise directors and attorneys specializing in Market Regulation matters, ensuring maximum productivity and effectiveness with a large and complex caseload. Oversees the recruitment and professional development of the managers and attorneys in the group, and is responsible for the culture and work ethic of the team. Specific responsibilities include: Providing direction and management to specialized Market Regulation Enforcement attorneys and managers, to maximize productivity and cost-effectiveness, and achieve timely and foreseeable high-quality Enforcement outcomes. This includes looking for opportunities to enhance effectiveness through cross-staffing and specialized assignments, and soliciting and providing feedback to staff based on observations from managers outside the SVP-Market Reg’s direct reporting lines. Serving as the primary senior Enforcement liaison with RSA clients to develop in-depth knowledge of each clients’ program, priorities and needs. Meeting regularly with RSA clients and facilitating effective communications regarding case and docket aging, status and developments. Monitoring the reporting provided to each RSA client to ensure client service; developing and reviewing content for presentations and reports to RSA clients; representing Enforcement at ROC and/or BCC meetings as needed. Monitoring all Enforcement department staff for compliance with RSA client requirements such as specialized training and attestations. Serving as the primary senior Enforcement liaison with senior management across Market Regulation, to understand each business unit’s priorities and needs, and to communicate market regulation-related priorities, risks, emerging issues, and sensitivities to the Enforcement department as a whole. Partnering with Enforcement senior management to identify and monitor high-profile or noteworthy cases on an ongoing basis, and provide ongoing updates to the EVP of Enforcement and the Enforcement department. Managing teams or staff members outside the specialized unit as needed to achieve a coordinated approach to similar matters or issues. Together with the rest of Enforcement senior management, identifying matters involving complex legal theories in order to escalate and coordinate as needed, including monitoring developments, communicating with other departments and/or other regulators, and advising on risks and outcomes. Serving as a key source of legal expertise within company on market regulation-related Enforcement matters. Representing the EVP of Enforcement and other senior Enforcement managers with other regulatory agencies and outside organizations, as appropriate. Providing performance feedback to other senior managers within and outside Enforcement. Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify high-priority matters. Meeting with Market Regulation Enforcement teams to discuss high-priority matters throughout the lifecycle of the matter. 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. Deepening and enhancing the working relationships and teamwork between Enforcement and the Department Market Regulation. 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
The candidate requires a law degree, superior academic credentials, and admission to the bar of the highest court of the District of Columbia or state. Requires a minimum of 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. Candidate 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: 006486
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