Current jobs related to Director, Enforcement - Boca Raton - finra

  • Security Director

    3 days ago

    Boca Raton, Florida, United States Admiral Security Services Full time

    Job Description**Job Title:** Director of Security**Company:** Admiral Security ServicesWe are seeking a highly skilled and experienced Director of Security to join our team. As a key member of our organization, you will be responsible for ensuring the safety and security of our clients and employees.Key Responsibilities:Patrol assigned areas to maintain a...

  • Senior Director, Ethics

    4 weeks ago

    Boca Raton, Florida, United States TransUnion Full time

    TransUnion's Job Applicant Privacy NoticePersonal Information We CollectYour Privacy ChoicesWhat We'll Bring:At TransUnion we have a welcoming and energetic environment that encourages collaboration and innovation - we're constantly exploring new technologies and tools to be agile. This environment gives our people the opportunity to hone current skills and...

  • Senior Director, Ethics

    4 weeks ago

    Boca Raton, United States TransUnion Full time

    TransUnion's Job Applicant Privacy NoticePersonal Information We CollectYour Privacy ChoicesWhat We'll Bring:At TransUnion we have a welcoming and energetic environment that encourages collaboration and innovation - we're constantly exploring new technologies and tools to be agile. This environment gives our people the opportunity to hone...

  • Facilities Maintenance Director

    5 days ago

    Boca Raton, Florida, United States St Andrews Country Club Full time

    Job SummaryWe are seeking a highly skilled and experienced Facilities Maintenance Director to join our team at St Andrews Country Club. The successful candidate will be responsible for overseeing the maintenance and repair of all community buildings and amenities, as well as managing capital and construction projects.Key ResponsibilitiesProject Management:...

  • Food and Beverage Director

    3 months ago

    Boca Raton, United States Sunrise Senior Living Full time

    Overview"Sunrise is the best place that I've ever worked, simply because of the people. We provide quality care in an environment that feels like home. Our focus is doing what’s right for the resident. For me, that’s a big breath of fresh air."- Sunrise Leader  The Dining Services Director I is responsible for providing outstanding customer service,...

  • Operations Director

    5 days ago

    Boca Raton, Florida, United States Sterling Life Sciences Full time

    About the RoleWe are seeking a highly skilled and experienced Maintenance Manager to join our team at Sterling Life Sciences. As a key member of our operations team, you will be responsible for leading the maintenance department and ensuring the smooth operation of our facilities.Key ResponsibilitiesDirect the work of the maintenance department and ensure...

  • Restaurant Manager

    4 days ago

    Boca Raton, Florida, United States Wendy's Full time

    About the RoleThe Executive Director of Operations at Wendy's will play a crucial part in driving business growth and excellence in our restaurants. As a seasoned leader, you will be responsible for maintaining a high-performing work environment by providing guidance, direction, training, and development for Assistant Managers, Shift Managers, and Crew...

  • Director of Facilities Management

    7 days ago

    Boca Raton, United States St. Andrews Country Club Full time

    Position Summary:Manages and coordinates the activities of contractors and workers engaged in construction, maintenance and repair of physical structure of all community buildings and amenities. Manages and coordinates all capital and construction projects including record keeping , billing, punch-list, and project completion. Responsible for fire prevention...

  • Teen Recreation Manager

    3 weeks ago

    Boca Raton, United States The Boca Raton Full time

    Job DescriptionJob DescriptionSummaryThe ideal candidate will oversee the daily operation of the teen area while maintaining a friendly and positive attitude, be able to enthusiastically deliver extraordinary service while enforcing rules and modeling positive behaviors and maintaining a safe environment. Essential FunctionsJob duties include, although are...

  • Teen Recreation Manager

    6 days ago

    Boca Raton, United States The Boca Raton Full time

    Job DescriptionJob DescriptionSummaryThe ideal candidate will oversee the daily operation of the teen area while maintaining a friendly and positive attitude, be able to enthusiastically deliver extraordinary service while enforcing rules and modeling positive behaviors and maintaining a safe environment. Essential FunctionsJob duties include, although are...

  • Reservationist/Club Concierge

    3 months ago

    Boca Raton, United States Royal Palm Yacht and Country Club Full time

    Job DescriptionJob DescriptionTITLE: Reservationist and Club ConciergeDEPARTMENT: Food and BeverageREPORTING TO: Director of Dining Operations, Beverage Director POSITION SUMMARY: The Reservationist/Club Concierge will provide and ensure a positive first impression to the Club's Members and guests by delivering an enthusiastic, courteous and friendly...

  • Youth Program Coordinator

    2 weeks ago

    Boca Raton, Florida, United States Boys and Girls Clubs of Palm Beach County, Inc. Full time

    Job OverviewOrganization: Boys & Girls Clubs of Palm Beach CountyPosition Title: Youth Program Coordinator (Social Recreation)Supervisor: Club DirectorEmployment Status: Non-ExemptPrimary Objective:Facilitate engaging activities within designated program areas, including Education, Special Education (Technology), Social Recreation, Arts & Crafts, Character &...

  • Healthcare Recruiter

    3 months ago

    Boca Raton, United States Team Select Home Care Full time

    Overview: You can apply by texting TSC to 97211 Now offering DailyPay! Ask us about it! Are you looking for an exciting opportunity with an expanding home health care company? Are you eager to prove yourself, be valued and grow? It is in your best interest to apply and hear more about what we have to offer! Team Selects mission is to take every opportunity...

  • Lead Aquatic Safety Supervisor

    2 weeks ago

    Boca Raton, Florida, United States YMCA of South Palm Beach County Full time

    Job OverviewLocationYMCA of South Palm Beach CountyPosition SummaryThe Lead Aquatic Safety Supervisor is tasked with ensuring the safety of all visitors at the Aquatic Center. This role is pivotal in preventing injuries, accidents, or fatalities during aquatic activities. The supervisor will also be responsible for overseeing the performance of lifeguards,...

  • Program Assistant/Social Recreation

    3 months ago

    Boca Raton, United States Boys and Girls Clubs of Palm Beach County, Inc. Full time

    Job DescriptionJob DescriptionBOYS & GIRLS CLUBS OF PALM BEACH COUNTYTitle: Program Assistant (Social Recreation)Reports To: Club DirectorExempt/Non-Exempt: Non-ExemptPrimary Function:Implement activities provided within a specific program area, such as Education, Special Education (Technology), Social Recreation, Arts & Crafts, Character & Leadership,...

  • Lead Aquatic Safety Supervisor

    2 weeks ago

    Boca Raton, Florida, United States YMCA of South Palm Beach County Full time

    Job OverviewExperience LevelExperiencedLocationYMCA of South Palm Beach CountyEmployment TypePart TimeCompensation$18.00 HourlyPosition SummaryThe Lead Aquatic Safety Supervisor is tasked with ensuring the safety of all guests at the aquatic facility by proactively preventing accidents and responding effectively to emergencies. This role includes overseeing...

  • Community and Economic Development Director

    3 weeks ago

    Raton, United States City of Raton, New Mexico Full time

    The City of Raton seeks an experienced professional for the position of Community and Economic Development Director. This position reports to the City Manager and requires skills in the management of community initiatives, economic development, project management, long-term planning, and communications. The incumbent shall administer, oversee, and coordinate...

  • Community and Economic Development Director

    3 weeks ago

    Raton, United States City of Raton, New Mexico Full time

    The City of Raton seeks an experienced professional for the position of Community and Economic Development Director. This position reports to the City Manager and requires skills in the management of community initiatives, economic development, project management, long-term planning, and communications. The incumbent shall administer, oversee, and coordinate...

  • Strategic Pricing Manager

    1 month ago

    Boca Raton, United States Denali Staffing Group Full time

    Job DescriptionJob DescriptionThe Strategic Retail Pricing Manager, internally referred to as Pricing Manager, is accountable for researching, analyzing and providing best advice to support and develop short range and medium-range food and general merchandise business strategies, with a particular focus on Pricing & Promotions. Key Accountabilities:•...

  • Community and Economic Development Director

    3 weeks ago

    Raton, United States City of Raton, New Mexico Full time

    The City of Raton seeks an experienced professional for the position of Community and Economic Development Director. This position reports to the City Manager and requires skills in the management of community initiatives, economic development, project management, long-term planning, and communications. The incumbent shall administer, oversee, and coordinate...

Director, Enforcement

1 month ago

Boca Raton, United States finra Full time

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 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 Enforcement investigators and with other FINRA departments, including Member Supervision, Market Regulation and Transparency Services, 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.

Education/Experience Requirements

  • Position requires a law degree and admission to the bar of the highest court of the District of Columbia or state. 
  • Requires a minimum of seven years of securities-related regulatory and/or complex litigation experience.
  • A minimum of five of the years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters. 
  • Substantial experience managing, leading and directing employees 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.

Work Conditions:

  • Work is normally performed in an office environment.  Extended hours will be required on a regular basis.  Some travel requirements.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. 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 internal peer compensation comparisons.

CA: Minimum Salary $146,200, Maximum Salary $296,100

CO/HI/MN/VT*: Minimum Salary $127,300, Maximum Salary $246,600

IL*: Minimum Salary $139,800, Maximum Salary $271,400

Jersey City, NJ/NY, NY: Minimum Salary $152,700, Maximum Salary $296,100

MD/Washington, DC: Minimum Salary $146,200, Maximum Salary $283,800

WA: Minimum Salary $127,300, Maximum Salary $283,800

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid