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. 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 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 to jointly develop an accurate and complete factual record governed by a legal framework. The Director also works with the Chief Counsel to identify interpretive questions and potential policy issues that arise during the course of an Enforcement matter and provide guidance to teams regarding FINRA’s position and response on such issues. In addition, Directors work closely with Chief Counsels on staffing assignments and staff development to efficiently leverage attorneys’ skills and expertise and maximize each attorney’s contributions and growth.

Specific responsibilities include:

• Provide oversight, direction and active management to Enforcement attorneys to achieve timely and foreseeable high-quality Enforcement outcomes. This includes working closely with attorneys to assess how the record supports each charge in a matter, and whether the basis for each charge an clear based on existing rules, case law and guidance.
• Monitor case progress and continually assess whether additional staffing or other resources are needed to forward cases in a more timely manner, with an emphasis on rapid resolution of high-risk and other high-priority matters.
• Actively manage and support the attorneys’ working relationships and teamwork with investigators and with other FINRA departments, including Examinations, Surveillance, Office of General Counsel and Office of Disciplinary Affairs. Work closely with peers within and outside of Enforcement to achieve effective information-sharing and a strategic partnership in developing a factual record supported by a well-reasoned legal framework.
• Work closely with other managers to prioritize assignments and resolve conflicts on staff members’ dockets.
• Actively manage teams handling matters throughout the lifecycle of the matter, including providing updates as needed to Enforcement senior management and business partners throughout FINRA.
• Provide guidance to attorneys regarding proposed Enforcement outcomes and other regulatory responses to achieve consistent decision-making based on risk. Work with Chief Counsel to achieve foreseeable charges and sanctions in Enforcement matters under management, including adherence to FINRA’s priorities and principles. Work with Chief Counsel and attorneys to achieve transparency in Enforcement outcomes and documents, such as settlement agreements and Complaints.
• Oversee staff members in litigated matters, including managing discovery, trial preparation and trial performance; provide guidance on litigation strategy and participate in trials as needed.
• Ensure written work product is high-quality, professional and persuasive.
• Identify and escalate potential issues of legal interpretation, policy and risk in Enforcement matters on the team’s docket. Effectively and frequently communicate with Enforcement senior management about potential issues and questions.
• Identify and escalate matters involving complex and novel legal theories in order to coordinate as needed, including monitoring developments and advising on risks and outcomes.
• Identify opportunities to enhance effectiveness through cross-staffing and specialized assignments, and solicit and provide feedback to staff based on observations from other managers.
• Continuously provide performance feedback to direct reports.
• Provide performance feedback to other managers regarding their staff’s work and collaboration.
• Review dockets and reports, and meet regularly with staff to monitor quality and timeliness of case progression.
• Demonstration of FINRA’s values.
• Collaboration, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Education/Experience Requirements:

• Position requires a Bachelor's degree and a minimum of ten years experience in securities regulation, compliance or litigation.
• A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements.
  
  General Requirements:
• Demonstrated excellent oral and written communications ability.
• Demonstrated ability to simultaneously handle numerous and potentially, complex investigations related to securities laws violations.
• Knowledge of federal securities laws and specific knowledge of the Securities Exchange Act of 1934 is a plus.
• Experience managing, leading, and evaluating employees in a team environment a strong plus.
• FINRA Securities Industry Essentials (SIE) certification or acceptable industry equivalent certification is required upon hire or within 16 months of the start date of the assigned SIE training cohort.

Work Conditions:

• Hybrid work environment, with defined in-person presence requirements.
• Occasional travel and extended hours may be required.

For work that is performed in Los Angeles and San Francisco, CA, CO, FL, TX, IL, PA, MA, MD, VA, Washington, DC, NY and NJ, please refer to the chart below for the salary range for the corresponding location. FINRA complies with all state and local pay transparency laws and regulations requiring the disclosure of salary ranges for the position. 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 market considerations. 

Los Angeles, CA: Minimum Salary  $207,395, Maximum Salary $311,093

San Francisco, CA: Minimum Salary  $217,765, Maximum Salary $326,648

CO/FL/TX: Minimum Salary $134,400, Maximum Salary $260,400

IL/PA: Minimum Salary $147,600, Maximum Salary $286,500

MA/MD/VA/Washington, DC: Minimum Salary $154,400, Maximum Salary $299,600

NY/NJ: Minimum Salary $154,400, Maximum Salary $312,600

#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. 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 is an Equal Opportunity Employer

All qualified applicants receive consideration for employment without regard to any legally protected category, including race, color, age, national origin, ethnicity, religion, disability, genetic information, military or veteran status, sex, or any other status or classification protected by state or local law.

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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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