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Senior Vice President & Deputy to the Head of Enforcement
Financial Industry Regulatory Authority (FINRA)
New York, NY, United States
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Description
We Work to Protect Investors. Join our Team.
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Senior Vice President & Deputy to the Head of Enforcement opening in New York, NY or Rockville, MD. To be considered for this position, please submit your resume through our career site at www.finra.org/careers – no phone calls, please.
Job Summary:
The Deputy to the Head of Enforcement is responsible for advising the Head of Enforcement on high priority Enforcement investigations, formal actions, and litigation. Essential skills include the ability to spot policy and legal issues, communicate and operationalize a uniform analytical framework to achieve consistent analysis and results, and lead change across the department. The Deputy to the Head of Enforcement will also assist the Head of Enforcement in overseeing the integration of the legacy Enforcement and Market Regulation Legal groups.
Essentials Job Functions:
• Consults with teams across the Enforcement department on high-priority matters, including matters that present: (a) substantial risk to investors or market integrity, such as cases involving high risk registered representatives or high risk conduct such as fraud; (b) novel legal or policy issues; and (c) the potential for substantial sanctions such as expulsions, bars, or significant fines or restitution amounts.
• Ensures that teams across Enforcement analyze the facts and law in high-priority matters in a consistent and transparent manner, including identifying and weighing relevant factors in a way that results in foreseeable outcomes.
• Does not directly supervise Enforcement staff but is expected to provide performance feedback regarding staff members as appropriate.
• Participates with the Head of Enforcement and other senior Enforcement executives in defining program goals and objectives for the entire department.
• Interfaces with senior executives in other departments to further FINRA’s regulatory and business objectives.
• Takes a leadership role in the integration of the legacy Enforcement and Market Regulation Legal staff, including by identifying opportunities for increased efficiency and effectiveness in business processes, communications, metrics, and training, among other areas.
Specific responsibilities include:
• Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify high-priority matters;
• Meeting with Enforcement teams across all Enforcement locations to discuss high-priority matters throughout the lifecycle of the matter;
• Facilitating the application of a framework to identify and weigh relevant factors in a consistent manner across teams and locations;
• Reporting to the Head of Enforcement on progress, issues, and decisions in high-priority matters;
• 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 and analytical rigor;
• Enhancing the working relationships and teamwork between Enforcement and other FINRA departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs;
• Representing the Head of Enforcement with other regulatory agencies and outside organizations, as appropriate;
• Leading special projects and producing special reports at the request of the Head 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.
Other Responsibilities:
• Other duties as assigned.
Qualifications
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 10 years of related complex litigation experience in a regulatory or compliance role, as an attorney or investigator, comprised of:
◦ A minimum of seven 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 an office environment.
• Extended hours will be required on a regular basis.
• Primary office is in New York or Rockville, MD with some travel requirements.
To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.
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.
Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly.
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 accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.
In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.
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.
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.
About FINRA
FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.
FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.
In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.
Find out more about us and how we work—and view our current openings—at www.finra.org/careers.
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 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 person’s 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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