Director, Enforcement

Min 7 yrs required

Full-time

No

The role of a Director of Enforcement is a critical one within any organization, but even more so within a financial regulatory body like FINRA. As the leader of a team of attorneys, the Enforcement Director is responsible for managing a large and diverse docket of cases, ensuring that each matter is resolved in a timely and consistent manner based on well-supported factual findings and legal principles. This role requires a high level of expertise in securities-related regulatory and/or complex litigation, as well as strong leadership and communication skills.

Job Title: Director of Enforcement

Salary Information:
- 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

Experience:
- Minimum of seven years of securities-related regulatory and/or complex litigation experience
- Minimum of five years working for a regulatory entity, member firm or law firm with direct involvement in securities enforcement matters
- Substantial experience managing, leading and directing employees in a team environment

Job Requisition ID: R-007681

Location(s):
- New York, NY
- Kansas City, MO
- Jericho, NY
- Denver, CO
- Dallas, TX
- Chicago, IL
- Boston, MA
- Boca Raton, FL
- Atlanta, GA
- Jersey City, NJ
- Woodbridge, NJ
- Washington, DC
- San Francisco, CA
- Rockville, MD
- Philadelphia, PA
- New Orleans, LA
- Los Angeles, CA

Time Type: Full time

Posted On: Posted Today

Organization: FINRA

Department: Enforcement

H1: Director of Enforcement: Critical Role in Financial Regulation

H2: Responsibilities and Requirements

Key Responsibilities:
- Managing a team of attorneys to ensure timely and consistent resolution of Enforcement cases
- Working closely with attorneys to assess the quality of cases and prioritize high-risk matters
- Collaborating with investigative staff and other departments to develop a factual record supported by a legal framework
- Identifying and escalating potential issues of legal interpretation, policy, and risk
- Overseeing staff performance and development, including providing performance feedback and identifying opportunities for growth and development

Requirements:
- Law degree and admission to the bar of the highest court of the District of Columbia or state
- Minimum of 7 years of securities-related regulatory and/or complex litigation experience
- Minimum of 5 years working for a regulatory entity, member firm or law firm with direct involvement in securities enforcement matters
- Strong leadership and communication skills

Salary Information:
- Based on location and various factors such as skill set, level of experience, and education
- Actual compensation will be determined based on internal peer comparisons
- Proposed salary ranges for select locations:
- California: $146,200 - $296,100
- Washington, DC: $146,200 - $283,800
- Colorado/Hawaii: $127,300 - $246,600
- New York, NY: $152,700 - $296,100
- Washington: $127,300 - $283,800

Education/Experience Requirements:
- Law degree and admission to the bar of the highest court of the District of Columbia or state
- Minimum of 7 years of securities-related regulatory and/or complex litigation experience
- Minimum of 5 years working for a regulatory entity, member firm or law firm with direct involvement in securities enforcement matters
- Strong leadership and communication skills

Work Conditions:
- Office environment
- Extended hours and travel may be required

Benefits:
- Comprehensive health, dental, and vision insurance
- Basic and supplemental life insurance
- Short and long-term disability
- 401(k) plan with company match
- Tuition reimbursement
- Paid time off, including volunteer service days

Important Information:
- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures
- Employees must execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism
- Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA
- More information on these restrictions can be found on the job posting

Search Firm Representatives:
- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA

Equal Opportunity and Affirmative Action Employer:
- All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status, or any other classification protected by federal, state, or local laws
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ), which prohibit discrimination against qualified individuals on the basis of disability and protected veteran status, respectively. Affirmative action is required by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities and protected veterans.

Not specified

Health, dental, and vision insurance, life and disability insurance, 401(k) with company match, retirement contribution, tuition reimbursement, time off and paid leave, volunteer service days, paid holidays

Not specified

Legal analysis, Case management, Team management, Communication, Prioritization, Collaboration, Litigation, Legal writing, Performance management, Leadership

Law degree and admission to the bar

Interested candidates should submit an application through the FINRA Careers site.

Qualification and Experience Law degree and admission to the bar, minimum of 7 years of securities-related regulatory and/or complex litigation experience, experience managing and leading employees in a team environment, superior investigative and legal skills, strong communication and organizational skills

Legal