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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileRegional Chief Counsel, Enforcement Duties: Manage and supervise the regional attorneys in multiple district offices and provide substantive direction to them in the course of their investigative work and litigation. Review all enforcement recommendations for sufficiency of the evidence, evaluate all proposed legal theories in support of the charges, review and provide guidance on Investigative Memoranda. Recommend the institution of disciplinary charges, review Formal Complaints, Default Motions and other pleadings and participate in selected higher profile settlement discussions. Prioritize the workload of the regional attorneys, ensuring that anticipated actions are completed in a timely manner. Oversee the management of Regional Teams of Directors and investigators to ensure timely and quality investigations and legal actions for all matters. Act as the direct liaison with referral sources such as Member Regulation, Market Regulation, Advertising, Corporate Finance, Dispute Resolution, the SEC and other referral sources. In addition, act as the primary liaison to the Office of Disciplinary Affairs regarding review and approval of settlements and Formal Complaints within the scope of the regional attorneys. Advise more senior level department management regarding the full range of investigative and legal issues impacting the Enforcement program. Take a leadership role in resolving complex, difficult or large matters involving important, sensitive, or novel issues including evaluating the legal theories in support of charges primarily regarding “cutting edge” cases where there is a lack of precedent. Evaluate the regional attorneys’ performance for merit and incentive compensation purposes. Keep apprised of important legal, policy and regulatory developments and communicate those to the regional attorneys. Serve as a key source of legal expertise on enforcement-related matters. Conduct and participate in special projects and press contacts as required. Participate in managing the Department by conducting Center meetings, participating in and contributing to senior staff meetings, overseeing legal contribution to the Department’s training program.
Qualification and Experience
Qualifications: Top academic credentials, law degree and 10+ years of experience in investigating and/or litigating securities or related cases in federal courts and/or administrative forums. Thorough knowledge of the federal securities laws, Authority rules, and procedural and evidentiary issues. Excellent written communication and interpersonal skills. Prior management experience is a plus.
Job Number: 006454
One Liberty Plaza
New York City, NY 10006