Vice President, Enforcement Senior Advisor & Operations

Reporting to the EVP of Enforcement serves as a trusted thought leader helping to shape Enforcements strategic direction and operational excellence. Provides expert advice and sound judgment on a comprehensive range of operational policy and regulatory matters while acting as the EVPs delegate in mission-critical situations. Leads teams and functions that support Enforcements core operations enabling the senior management team to effectively advance FINRAs regulatory mission and convey Enforcement and Regulatory Operations strategic priorities. Operates with significant autonomy and decision-making authority within delegated areas driving innovation and operational effectiveness across the organization.

Essential Job Functions:

• Serve as a strategic partner and thought leader to the EVP operating as a trusted advisor on matters of significance to Enforcement and FINRAs regulatory mission. Exercise sound judgment and independent decision-making authority on matters within delegated scope; establish decision frameworks and protocols for escalation when EVP involvement is required.
• Lead strategic analysis and problem-solving on complex precedent-setting matters; quickly assess incoming issues to determine severity and nature and decide on appropriate action pathways.
• Provide actionable recommendations and strategic options that enable executive decision-making including risk assessments competitive intelligence and clear next steps for the EVP and leadership team.
• Drive innovation in Enforcement operations; identify and shepherd implementation of special projects as identified and prioritized by the EVP bringing fresh approaches to operational challenges.
• Provide expert advice and support on matters of strategic significancefrequently sensitive or confidential in naturerelated to the management and operations of Enforcement including:
  • Organizational structure succession planning and hiring/staffing decisions for key functions
  • Strategic planning risk assessment and mitigation strategies
  • Policy development and refinement
  • Board materials and executive presentations
  • Relations with member firms other regulators and government officials
  • Budget and resource allocation recommendations for assigned functions

• Serve as a liaison and strategic partner across FINRA on Enforcement matters. Lead cross-functional initiatives spanning Regulatory Operations Technology Legal Communications Corporate Compliance People Solutions and other business units.
• Establish and maintain critical relationships with internal and external stakeholders; serve as the bridge between Enforcement and other departments to ensure seamless collaboration on cases data sharing and technology infrastructure.
• Lead or participate in enterprise-wide initiatives where Enforcement senior leadership and expertise are required representing the departments interests and ensuring alignment with broader organizational objectives.
• Partner with Corporate Communications and Regulatory Operations Communications to develop and execute comprehensive communications strategies that deliver clear consistent and effective messaging across Enforcement to FINRA stakeholders to the Board and to external audiences.
• Leverage deep expertise in Enforcements operational policy and regulatory activities to advise FINRAs Communications on media responses internal and external communications case dispositions and external speaking engagements.
• Serve as a liaison for Enforcement matters related to external information requests from Congress GAO state securities regulators and other government entities.
• Liaise with Unified Services and appropriate internal functions to prepare for and respond to FSIO (Financial Services Industry Oversight) requests. Support planning and preparation for meetings with FSIO and lead implementation of FSIO-related remediation.
• Operational Leadership & Oversight of:
• Central Intake Group - oversee the intake assessment and assignment of all matters within Enforcement. Establish performance standards quality metrics and accountability measures to ensure consistent efficient and compliant case processing.
• Forensic Investigation and Litigation Support (FILS) unit - oversee the intake archiving tracking and maintenance of digital information for Enforcement. Ensure compliance with litigation holds data governance and regulatory requirements.
• Enforcement vendors oversee to optimize value manage costs and ensure alignment with organizational needs and standards.
• Paralegal function - foster a culture of operational excellence professional development and regulatory focus. Establish clear performance expectations and accountability across the function.
• Establish operating procedures quality assurance frameworks and performance metrics for all functions under purview. Monitor performance and implement continuous improvements to drive efficiency and effectiveness.
• Lead mentor and develop high-performing teams; establish performance standards and accountability; foster a culture of operational excellence regulatory focus and continuous improvement.
• Build and maintain a collaborative environment where diverse perspectives are valued and team members are empowered to contribute to Enforcements mission.
• Exemplify and champion FINRAs values in all professional endeavors.
• Demonstrate exceptional collaborationboth in-person and virtuallyin furtherance of FINRAs mission of investor protection and market integrity.

Education/Experience Requirements:

• Bachelors degree or equivalent required preferably in business or communications field.
• MBA JD or other advanced degree in business law finance or related field strongly preferred.

• Minimum of 12 years of progressive experience in financial services regulation enforcement compliance or related roles with at least 3-5 years in a senior leadership advisory or management capacity.
• 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.

Skills & Attributes:

• Strong collaborator and team builder with excellent written and verbal communication interpersonal and presentation skills.
• Exceptional organizational skills with the ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Deep knowledge of the regulation and operation of the U.S. broker-dealer industry with familiarity with the broader landscape of financial regulation and self-regulatory organizations.
• Track record of successfully managing complex multi-disciplinary teams and projects.
• Proven record of acting independently in an unstructured environment to identify and address challenges seize opportunities develop new initiatives and strengthen existing programs.
• Excellent leadership skills including the ability to organize and deal effectively with people from a variety of backgrounds in order to reach timely informed decisions.
• Ability to operate with discretion and professionalism when handling sensitive and confidential matters.

Working Conditions:

• Hybrid work environment with defined in-person presence requirements
• Occasional travel required
• Extended hours required to support Enforcement operations and meet regulatory obligations

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 addition to location actual compensation is based on various factors including but not limited to the candidates skill set level of experience education and market considerations.

Los Angeles CA: Minimum Salary $245000 Maximum Salary $331000

San Francisco CA: Minimum Salary $245000 Maximum Salary $331000

CO/FL/TX: Minimum Salary $192800 Maximum Salary $379700

IL/PA: Minimum Salary $192800 Maximum Salary $379700

MA/MD/VA/Washington DC: Minimum Salary $192800 Maximum Salary $379700

NY/NJ: Minimum Salary $192800 Maximum Salary $379700

#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

FINRAs 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 Codes investment and securities account restrictions and new employees must comply with those investment restrictionsincluding disposing of any security issued by a company on FINRAs Prohibited Company List or obtaining a written waiver from their Executive Vice Presidentby 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 FINRAs Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the companys policy on nepotism.

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