Director, Enforcement

Role Overview

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.

• 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 is 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 elevate 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…