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Organization TypePublic Interest
Years of Experience
Date Last Verified
Chief Counsel, Market Regulation Enforcement Duties: Responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex caseload. Manages a team of attorneys and directors, who may be located in different offices, with a widely diverse docket of cases covering a number of subject matter areas. And his or her team are required to closely collaborate with investigative staff, both within Enforcement’s investigations unit and within the Member Regulation and Market Regulation departments, to develop an accurate and complete factual record. Responsible for identifying interpretive questions and potential policy issues that arise during the course of an Enforcement matter, and providing guidance to teams regarding position and response on such issues. To do so, works closely with Enforcement management and other departments to identify, escalate and strategically manage matters that involve novel or unique questions, to achieve a consistent response. Across the entire department work closely with senior management to facilitate an ongoing dialogue about Enforcement decision-making, to achieve timely and foreseeable Enforcement outcomes in accordance with the department’s priorities and principles. Responsible for leveraging attorneys’ skills and expertise appropriately through case assignments, and achieving an efficient staffing model that maximizes each attorney’s contribution. Provide guidance to attorneys and directors regarding proposed Enforcement outcomes and other regulatory responses, to achieve consistent decision-making based on risk. Responsible for achieving foreseeable charges and sanctions in Enforcement matters under management, including adherence to priorities and principles. Responsible for achieving transparency in Enforcement outcomes and documents, such as settlement agreements and Complaints. Identify and monitor potential issues of legal interpretation, policy and risk in Enforcement matters on the team’s docket. Effectively and frequently communicate with Enforcement senior management about potential issues and questions, and participate in discussions about FINRA’s position and response with others across FINRA, in coordination with Enforcement senior management. Monitor novel issues, high-profile or noteworthy cases on an ongoing basis, and provide ongoing updates to Enforcement senior management and the Enforcement department. Actively manage and support the attorneys’ and directors’ working relationships and teamwork with Enforcement investigators and with other departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs. Work closely with peers within and outside of Enforcement to achieve effective information-sharing and a strategic partnership in developing a factual record supported by a well-reasoned legal framework. Provide direction and management to Enforcement attorneys and directors 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 Chief Counsel’s direct reporting lines. Provide strategic guidance and oversight of disciplinary litigation, including Enforcement’s most complex litigation matters; collaborate closely with Enforcement’s Chief Litigation Counsel to achieve appropriate staffing, preparation and execution of hearings and appeals. Manage specialized teams as needed to achieve a coordinated approach to similar matters or issues. Actively manage teams handling high-priority and complex matters throughout the lifecycle of the matter, including providing regular updates to Enforcement senior management and business partners. Serve as a key source of legal expertise within FINRA on Enforcement related matters. Provide performance feedback to other senior managers within and outside Enforcement. Review dockets and reports, and meet regularly with staff to monitor quality and timeliness of case progression. Continuously provide performance feedback to direct reports and the attorneys they manage. Lead change in the Enforcement program by focusing on risk-based Enforcement decision-making and analytical rigor. Lead special projects as requested. Attend and speak at outside legal and industry regulatory conferences and meetings, and speak to the press and the industry on enforcement matters as needed.
Qualification and Experience
Qualifications: A law degree, superior academic credentials, and admission to the bar of the highest court of the District of Columbia or state. 10+ years of securities-related regulatory and/or complex litigation experience. 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. 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: 006509
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