Senior Vice President, Enforcement Legal

Min 12 yrs required

Full-time

No

Senior Vice President, Enforcement Legal
The candidate will serve as a senior legal advisor to the EVP of Enforcement, responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the department and in coordination with the organization's Regulatory Operations partners, as well as managing the performance of the Enforcement attorney teams. Work closely with the EVP, and the VP, Enforcement Investigations in monitoring and advising on high-impact and noteworthy investigations in Enforcement and across Regulatory Operations, as well as identify and monitor Enforcement matters involving high-risk firms and brokers across the Enforcement program. Collaborate with Member Supervision and Market Regulation to ensure an efficient investigative process and consistent, timely, and impactful regulatory outcomes. Lead the attorney teams to collaborate with the investigators in Enforcement and colleagues across Regulatory Operations to work as one integrated Regulatory Operations team with the goal of addressing industry misconduct in an efficient, timely, and effective manner. Ensure that Enforcement, in coordination with Regulatory Operations, provides exemplary service to the organizations's regulatory service agreement (RSA) customers consistent with each exchange customer’s particular rules, program, priorities and needs. Along with the EVP of Enforcement and other Enforcement senior management, the SVP defines program goals and priorities for the entire department. Work closely with the Enforcement senior managers to effectively communicate the department's priorities and provide real-time feedback and updates to the department on legal developments, achievements, emerging issues, RSA customer developments, challenges and lessons learnt. Work closely with VPs/Chief Counsels across the department to achieve timely and foreseeable Enforcement outcomes in accordance with the department’s priorities, policies, and principles. Work closely with Member Supervision and Market Regulation Transparency Services 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. Manage a team of VPs/Chief Counsels, Enforcement Legal, who supervise the attorney teams ensuring maximum productivity, effectiveness, and engagement with a large and complex caseload. Oversee the recruitment and professional development of the VPs/Chief Counsels and is responsible for the culture and work product of the teams. Partner 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, the Enforcement department, and other key stakeholders. Provide direction to and managing the 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's direct reporting lines. Manage specialized teams as needed to achieve a coordinated approach to similar matters or issues. Together with the rest of Enforcement senior management, identify 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 advise on risks and outcomes. Serve as a key source of legal expertise within the organization on Enforcement-related matters. Represent the EVP of Enforcement and other senior Enforcement managers with other regulatory agencies and outside organizations, as appropriate. Represent the EVP of Enforcement with other departments, senior leaders, and the Board of Governors, as appropriate. Provide performance feedback to other senior managers within and outside Enforcement, as appropriate. Review dockets related to their attorney teams and reports and meet regularly with senior Enforcement staff to identify high-priority matters. Meet with Enforcement attorney teams to discuss high-priority matters throughout the lifecycle of the matter. Assist in the assignment and supervision of certain high-priority matters. Lead change in the Enforcement program by focusing on risk-based Enforcement decision-making, analytical rigor and a data-driven approach. Enhance the working relationships and teamwork between Enforcement and other departments, including Member Supervision, Market Regulation Transparency Services, Office of General Counsel, Office of Disciplinary Affairs, Technology, and Board and External relations teams. Together with the rest of Enforcement senior management, advising and assisting the Operations and Technology functions of Enforcement to support the departmental goals and achieve excellence. Lead special projects and producing special reports at the request of the EVP of Enforcement. Attend and speak at outside legal and industry regulatory conferences and meetings and speaking to the press and the industry on enforcement matters as needed. Should have a law degree, superior academic credentials, and admission to the Bar of the highest court of the District of Columbia or state. Must have 12+ years of complex litigation experience in a regulatory or compliance role, as an attorney or investigator, comprised of: 6 of the years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters as well as 7+ years managing, leading, and directing employees in a senior capacity in a team environment.

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, 401(k) plan with company match, tuition reimbursement, volunteer service days, and more.

Not specified

Legal advisory, Monitoring, Litigation, Regulatory operations, Team management, Communication, Leadership, Change management

Law degree

Job Requisition ID: R-007525

Legal