Vice President, Enforcement Senior Advisor – Operations

Responsibilities

• Serve as a strategic partner and thought leader to the EVP.
• Exercise sound judgment and independent decision-making authority.
• Lead strategic analysis and problem‑solving on complex, precedent‑setting matters.
• Provide actionable recommendations and strategic options that enable executive decision‑making.
• Drive innovation in Enforcement operations; identify and shepherd implementation of special projects.
• Provide expert advice and support on matters of strategic significance related to Enforcement.
• Serve as a liaison and strategic partner across FINRA on Enforcement matters.
• Establish and maintain critical relationships with internal and external stakeholders.
• Lead or participate in enterprise‑wide initiatives.
• Develop and execute comprehensive communications strategies.

• Bachelor's 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.
• Strong collaborator and team builder.
• Excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills.
• Deep knowledge of the regulation and operation of the U.S. broker‑dealer industry.
• Familiarity with the broader landscape of financial regulation and self‑regulatory organizations.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Ability to operate with discretion and professionalism when handling sensitive and confidential matters.