Senior Vice President, Enforcement Legal

Along with the EVP of Enforcement and other Enforcement senior management, the SVP defines program goals and priorities for the entire department. The SVP works closely with the Enforcement senior managers to effectively communicate the departments priorities and provide real-time feedback and updates to the department on legal developments, achievements, emerging issues, RSA customer developments, challenges and lessons learned. The SVP works closely with VPs across the department to achieve timely and foreseeable Enforcement outcomes in accordance with the departments priorities, policies, and principles. The SVP works closely with Member Supervision and Market Regulation and 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.

The SVP manages a team of VPs, Enforcement Legal, who supervise the attorney teams ensuring maximum productivity, effectiveness, and engagement with a large and complex caseload. The SVP oversees the recruitment and professional development of the VPs and is responsible for the culture and work product of the teams.

Specific responsibilities include:

• Partnering with 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, the Enforcement department, and other key stakeholders.
• Providing 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 SVPs direct reporting lines.
• Managing specialized teams 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 within FINRA on Enforcement-related matters.
• Representing the EVP of Enforcement and other senior Enforcement managers with other regulatory agencies and outside organizations, as appropriate.
• Representing the EVP of Enforcement with other FINRA departments, senior FINRA leaders, and the Board of Governors, as appropriate.
• Providing performance feedback to other senior managers within and outside Enforcement, as appropriate.
• Reviewing dockets related to their attorney teams and reports and meeting regularly with senior Enforcement staff to identify high-priority matters.
• Meeting with Enforcement attorney 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, analytical rigor and a data-driven approach.
• 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.
• 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.
• Leading special projects and producing special reports at the request of the EVP of Enforcement.
• 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:

Position requires a law degree, superior academic credentials, and admission to the bar of the highest court of the District of Columbia or state. Requires a minimum of 12 years of complex litigation experience in a regulatory or compliance role, as an attorney or investigator, comprised of:

• A minimum of six of the years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters.
• A minimum of seven years managing, leading, and directing employees in a senior capacity in a team environment.
  

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 a hybrid environment. Extended hours will be required on a regular basis.

For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidates skill set, level of experience, education, and internal peer compensation comparisons.

California: Minimum Salary $235,700, Maximum Salary $397,900

Washington, DC: Minimum Salary $235,700, Maximum Salary $397,900

Colorado/Hawaii: Minimum Salary $235,700, Maximum Salary $397,900

New York, NY: Minimum Salary $235,700, Maximum Salary $397,900

Washington State: Minimum Salary $235,700, Maximum Salary $397,900

#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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Employees may be eligible for a discretionary bonus in addition to base pay. 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 and many other benefits.

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 (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

FINRAs 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 Codes investment and securities account restrictions, and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

Search Firm Representatives

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FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the persons relatives, friends or associates.

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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