Essential Job Functions:
- The Vice President, Enforcement Legal is responsible for leading their attorney teams on timely high-impact and noteworthy investigations and disciplinary actions in coordination with other VPs within Enforcement Legal and FINRA’s Regulatory Operations partners, as well as managing the performance of the Enforcement attorney teams. The VP works closely with Enforcement’s Head of Investigations (VP) in monitoring and advising on investigations in Enforcement and across Regulatory Operations, as well as identifying and monitoring Enforcement matters involving high-risk firms and brokers across the Enforcement program.
- The VP is responsible for collaborating with Member Supervision and Market Regulation Transparency Services to ensure an efficient investigative process and consistent, timely, and impactful regulatory outcomes. The VP is responsible for leading 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.
- The VP is responsible for ensuring that Enforcement, in coordination with Regulatory Operations, provides exemplary service to FINRA’s regulatory service agreement customers consistent with each exchange customer’s particular rules, program, priorities and needs.
- Essential skills include the ability to communicate effectively, to successfully collaborate with management in Enforcement, across Regulatory Operations, and other departments, and to oversee the efficient execution of complex and high-profile enforcement matters.
- Along with Enforcement senior management, the VP supports program goals and priorities for the entire department and works closely with 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 client developments, challenges and “lessons learned.”
- The VP manages their attorney teams and supervises directors and attorneys on those teams, ensuring maximum productivity, effectiveness, and engagement with a large and complex caseload – taking a data driven approach wherever possible. The VP, in partnership with the SVP, oversees the recruitment and professional development of the managers and attorneys in the teams, and is responsible for the culture and work product of the teams.
- The VP also ensures that the attorney teams achieve timely and foreseeable Enforcement outcomes in accordance with the department’s priorities, policies, and principles. The VP works 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.
Specific Responsibilities Include:
- Working with the SVP and Enforcement senior management to identify and monitor high-profile or noteworthy cases on an ongoing basis, and providing ongoing updates to the EVP of Enforcement and the Enforcement department.
- Providing direction and management to 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 VP’s direct reporting lines.
- Identifying matters involving complex legal theories and high risk 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 primary source of legal expertise within FINRA on Enforcement-related matters.
- Providing performance feedback to other senior managers within and outside Enforcement, as appropriate.
- Ensuring that litigation documents are of high quality and working closely with Enforcement’s Litigation team through the complaint process.
- Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify high-priority matters.
- Assisting in the assignment and supervision of certain high-priority matters.
- Providing support to the Operations and Technology functions of Enforcement to advance the departmental goals and achieve excellence.
- Enhancing the working relationships and teamwork between Enforcement and other FINRA departments, including Member Supervision, Market Regulation Transparency Services, Office of General Counsel, Office of Disciplinary Affairs, Technology, and Board and External relations teams.
- Leading special projects and producing special reports at the request of the SVP or the senior leadership team.
- Attending and speaking at outside legal and industry regulatory conferences and FINRA meetings and speaking to the press and the industry on enforcement matters as needed.
Education/Experience Requirements:
- A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
- Requires a minimum of 10 years of complex litigation experience, preferably involving securities laws, including:
- A minimum of seven years managing, leading and directing employees in a senior capacity in a team environment.
- A minimum of five years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters.
- Candidate 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.
Working Conditions:
- Work is normally performed in an office environment. Extended hours will be required on a regular basis.
For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
CA: Minimum Salary $192,800, Maximum Salary $379,700
CO/HI/MN/VT*: Minimum Salary $192,800, Maximum Salary $379,700
IL*: Minimum Salary $192,800, Maximum Salary $379,700
Jersey City, NJ/NYC, NY: Minimum Salary $192,800, Maximum Salary $379,700
MA/WA: Minimum Salary $192,800, Maximum Salary $379,700
MD/Washington, DC: Minimum Salary $192,800, Maximum Salary $379,700
NJ State: Minimum Salary $192,800, Maximum Salary $379,700
NY State: Minimum Salary $175,600, Maximum Salary $379,700
*Including positions performed outside the state but reporting to an office or manager in that state.
Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email atEmployeeRelations@finra.org.Please note that this process is exclusively for inquiries regarding application accommodations.
Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
Important Information
FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.
You can read more about these restrictions here.
As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.
Search Firm Representatives
Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.
FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at EmployeeRelations@finra.org. Please note that this process is exclusively for inquiries regarding application accommodations.
All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, veteran status or any other classification protected by federal, state, or local laws.
FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.
FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.
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