Director, Enforcement

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system.

At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations.

We have an exciting opportunity for a Director, Enforcement:

The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion.

The Director is the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework.

The Director is also responsible for monitoring the aging and progress of cases to ensure that matters are resolved promptly and prioritized appropriately using FINRA’s risk-based approach.

The Director works closely with the Chief Counsel and other Enforcement managers to achieve consistent and foreseeable Enforcement outcomes, including by identifying and escalating interpretive issues.

The Director also facilitates active and effective collaboration between Enforcement attorneys and FINRA investigative staff within and outside of Enforcement.

Finally, the Director manages staff performance and development by working with the Chief Counsel to achieve appropriate staff assignments and development opportunities.

Essential skills include the ability to communicate effectively with team members in different geographic locations, to assess the quality of cases by applying a rigorous analytical framework, to effectively prioritize and progress matters in a timely fashion, to successfully collaborate with senior management in Enforcement and other departments, and to manage personnel effectively.

Essential Job Functions:

Enforcement Directors are responsible for ensuring that Enforcement attorneys conduct thorough and thoughtful factual and legal analysis to achieve optimal outcomes in every Enforcement matter.

The Director manages a team of attorneys, who may be located in different locations, handling a diverse docket of cases covering a number of subject matter areas.

The Director works closely with their team to achieve high quality legal work, including monitoring investigations to ensure they are adequate and strategic, and reviewing legal analysis to ensure that conclusions of law are based on clear and well-supported legal principles.

Directors are also responsible for monitoring case progress to ensure timely progression and appropriate prioritization of high-risk matters.

Directors are required to closely collaborate with investigative staff, both within Enforcement’s investigations unit and within the Member Supervision and Market Regulation and Transparency Services departments, to jointly develop an accurate and complete factual record governed by a legal framework.

The Director also works with the Chief Counsel ...