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Chief Enforcement Officer

2 months ago


Atlanta, Georgia, United States finra Full time

FINRA is dedicated to protecting investors and maintaining the integrity of the financial system in the United States. We prioritize the growth of our employees by providing a variety of educational resources to help them reach their professional aspirations. We are currently looking for a dedicated individual to fill the position of Director, Enforcement.

Position Overview:

  • Oversee a team of 5-8 Enforcement attorneys, guiding them through the entire lifecycle of cases.
  • Ensure that all factual findings are precise and thoroughly substantiated by utilizing a robust legal framework.
  • Assess case progress and prioritize effectively based on risk evaluations.
  • Work collaboratively with other departments and investigative teams to ensure a cohesive approach to Enforcement.
  • Supervise staff performance and development to maximize team effectiveness.

Core Responsibilities:

  • Offer direction and support to attorneys to ensure high-quality results.
  • Track case progress and allocate resources as necessary to facilitate swift resolutions.
  • Engage with various departments to build a solid factual foundation for each case.
  • Recognize and escalate any legal interpretation challenges or potential risks.
  • Enhance team communication and effectiveness through specialized tasks.

Qualifications:

  • A law degree and bar admission are required.
  • A minimum of 7 years of experience in securities-related regulation or litigation is essential.
  • Exceptional leadership and communication skills are crucial.

Work Environment:

  • Primarily office-based with occasional travel requirements.
  • Extended hours may be necessary.

Compensation Range:

  • California: Minimum $146,200, Maximum $296,100
  • Washington, DC: Minimum $146,200, Maximum $283,800
  • Colorado/Hawaii: Minimum $127,300, Maximum $246,600
  • New York, NY: Minimum $152,700, Maximum $296,100
  • Washington: Minimum $127,300, Maximum $283,800