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Organization TypePublic Interest
Years of Experience
Date Last Verified
Senior Vice President of Member Regulation Enforcement Duties: 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 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. Providing direction and management to specialized Member 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 manages outside the direct reporting lines. Serving as the primary senior Enforcement liaison with senior management across Member Regulation and Regulatory Operations in general, to understand each business unit’s priorities and needs, and to communicate priorities, risks, emerging issues, and sensitivities to the Enforcement department as a whole. Developing deep familiarity and expertise regarding high risk firms, including the firms’ profiles and histories, specific risks posed, and ongoing matters. Developing deep familiarity and expertise regarding the high risk broker and high risk representative programs, to monitor progress and status on individual matters, manage reporting and escalation to senior management, and ensure collaboration and information sharing across related matters. 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 on member regulation-related and high risk 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 Member 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 of Member 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
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.
Requisition ID 006483. Send cover letter and resume with writing sample.
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