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Director, Enforcement
Jericho, NY SEO Friendly Job Title: Director, Enforcement H1: Director, Enforcement - Job Description and Salary Information H2: Overview of Director, Enforcement Position Bold Headlines: Director, Enforcement: Leading and Managing a Team of Attorneys Job Title: Director, Enforcement Salary Information: Salary ranges from $127,300 to $296,100, depending on location and qualifications Experience: Minimum of 7 years of securities-related regulatory and/or complex litigation experience Organization: FINRA (Financial Industry Regulatory Authority) Department: Enforcement Time Type: Full-time Location: Various locations, including CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA The Role of a Director, Enforcement: - Managing a team of 5-8 Enforcement attorneys - Overseeing all stages of Enforcement cases, from inception to completion - Ensuring thorough and thoughtful factual and legal analysis in every matter - Collaborating with other departments to achieve consistent and foreseeable outcomes - Identifying and escalating interpretive issues and potential policy questions - Managing staff performance and development Essential Skills: - Effective communication with team members in different locations - Strong analytical skills to assess the quality of cases - Ability to prioritize and progress matters in a timely fashion - Collaboration with senior management and other departments - Effective personnel management skills Job Responsibilities: - Providing oversight, direction, and active management to Enforcement attorneys - Monitoring case progress and prioritizing high-risk matters - Collaborating with investigative staff and other departments - Working with other managers to prioritize assignments and resolve conflicts - Monitoring and providing updates on case progress to senior management and business partners - Providing guidance on proposed Enforcement outcomes and regulatory responses - Overseeing staff in litigated matters - Ensuring high-quality written work product - Identifying and escalating potential legal interpretation, policy, and risk issues - Identifying opportunities for cross-staffing and specialized assignments - Providing performance feedback to direct reports and other managers - Reviewing dockets and reports and meeting regularly with staff to monitor quality and timeliness of case progression Education/Experience Requirements: - Law degree and admission to the bar of the highest court of the District of Columbia or state - Minimum of 7 years of securities-related regulatory and/or complex litigation experience - Minimum of 5 years working for a regulatory entity, member firm, or law firm with direct involvement in securities enforcement matters - Substantial experience managing and leading employees in a team environment - Superior investigative and legal skills - Ability to prioritize a complex workload and make difficult decisions - Excellent interpersonal, organizational, and oral and written communication skills Work Conditions: - Office environment with extended hours and occasional travel Salary Information: - Salary ranges from $127,300 to $296,100, depending on location and qualifications - Actual compensation is based on factors such as skills, experience, education, and internal peer comparisons - Full pay ranges are provided to consider growth potential while at FINRA Important Information: - FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures - Employees must disclose all brokerage accounts and authorize broker-dealers to provide duplicate statements - Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA - Employees must comply with investment restrictions, including disposing of securities issued by companies on FINRA’s Prohibited Company List - Employees must sign FINRA’s Employee Confidentiality and Invention Assignment Agreement and adhere to the company’s nepotism policy Time Off and Paid Leave: - 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year) - 2 volunteer service days (based on full-time schedule) - Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave - Full-time employees receive 9 paid holidays Search Firm Representatives: - FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity - Valid written agreement and task order must be in place before submitting resumes to FINRA - Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA and no fee will be paid if the person is hired 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 - FINRA abides by the requirements of 41 CFR 60-741.5(a) and 41 CFR 60-300.5(a) regarding discrimination against qualified individuals with disabilities and protected veterans, respectively To be considered for this position, please submit an application. Applications are accepted on an ongoing basis. Conclusion: If you are a highly skilled and experienced attorney with a passion for securities enforcement, FINRA's Director, Enforcement position may be the perfect fit for you. With opportunities for growth and a competitive salary, this position offers the chance to make a significant impact in the financial industry. Apply now and join the talented team at **MEMBERS ONLY**SIGN UP NOW*** |
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