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Senior Vice President, Enforcement Legal
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Full-time
- The Senior Vice President, Enforcement Legal role acts 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 FINRA’s Regulatory Operations partners, as well as managing the performance of the Enforcement attorney teams.
- The SVP works closely with the EVP, and the VPs ', Enforcement Investigations in monitoring and advising on high-impact and noteworthy 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 SVP 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 SVP is responsible for ensuring that Enforcement, in coordination with Regulatory Operations, provides exemplary service to FINRA’s regulatory service agreement (RSA) customers consistent with each exchange customer’s particular rules, program, priorities and needs.
- Essential skills include the ability to communicate effectively across a widely dispersed department, to successfully collaborate with senior management in Enforcement including the other SVP, Enforcement Legal, Regulatory Operations, and other departments, to lead change across the department, and to oversee the efficient execution of complex and high-profile enforcement matters.
Expired 7 days agoInactive Job
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