Financial Industry Regulatory Authority
New York, NY, USA
Essential Job Functions: The Vice President, Enforcement Legal is responsible for leading their attorney teams on timely high-impact and noteworthy investigations and disciplinary actions in coordination with other VPs within Enforcement Legal and FINRA's Regulatory Operations partners, as well as managing the performance of the Enforcement attorney teams. The VP works closely with Enforcement's Head of Investigations (VP) in monitoring and advising on investigations in Enforcement and across Regulatory Operations, as well as identifying and monitoring Enforcement matters involving high-risk firms and brokers across the Enforcement program. The VP is responsible for collaborating with Member Supervision and Market Regulation Transparency Services to ensure an efficient investigative process and consistent, timely, and impactful regulatory outcomes. The VP is responsible for leading the attorney teams to collaborate with the investigators in Enforcement and colleagues across...