Vice President of Investigations - Enforcement

Financial Industry Regulatory Authority (FINRA)
Rockville, MD
Jun 04, 2018
Jun 15, 2018
Full Time
The of Investigations (the “ Investigations”) manages the performance of Enforcement's Investigative Directors and their teams of investigators, located in numerous locations as needed. The Investigations works closely with the Deputy Head of Enforcement and other senior managers in Enforcement to monitor and advise on high-impact and noteworthy investigations across the department, and collaborates with Technology, the Office of Fraud Detection and Market Intelligence, the Department of Market Regulation, and other departments across FINRA to enhance and develop investigative techniques and tools. The Investigations also manages the of Forensic Investigations and Litigation Support, and works closely with that to support and further develop FINRA's use of e-discovery technologies. Essential skills include the ability to communicate effectively across a widely-dispersed department, to successfully collaborate with senior management in other departments, to lead change across the department, and to oversee the efficient execution of complex and high profile investigations. Essential Job Functions: The Investigations is tasked with department-wide responsibility for developing and enhancing Enforcement's investigative capabilities, including the use of e-discovery, data analysis, and forensic accounting. The Investigations coordinates the staffing of investigators to Enforcement investigations, to leverage expertise efficiently and achieve cost-effective results. The Investigations works closely with the Deputy Head of Enforcement to achieve collaborative and effective investigations, and to effectively provide the department real-time feedback and updates on achievements, emerging issues, new technologies and tools, challenges and “lessons learned.” The Investigations works closely with Investigative Directors across the entire department to facilitate an ongoing dialogue about investigative techniques and approaches. The Investigations oversees the recruitment and professional development of the managers and investigators in the group, and is responsible for the culture and work ethic of the team. Finally, the Investigations manages the of Forensic Investigations and Litigation Support, and works with that team to develop standards and best practices for the use of e-discovery tools and technology. Specific responsibilities include: Managing and developing Enforcement investigative directors and the investigators that report to them. Collaborating with senior managers across FINRA to develop and implement enhanced investigative tools and techniques. Overseeing systems training for investigators. Enhancing FINRA's e-discovery expertise and developing an enterprise-wide solution for efficient and cost-effective e-discovery. Recruiting and hiring a team of investigators with diverse and complementary skills, and assigning them to matters that leverage their experience and expertise to develop a robust factual record for Enforcement matters. Managing and developing the Forensic Investigations and Litigation Support team to facilitate standardized and efficient use of e-discovery tools and procedures. Partnering with Enforcement senior management to identify and monitor high-profile or noteworthy cases on an ongoing basis, and provide ongoing updates to the of Enforcement and the Enforcement department. Overseeing the ongoing development and implementation of department-wide training programs. Providing feedback regarding attorneys' collaborative and investigative skills to their managers. Managing specialized teams as needed to achieve a coordinated approach to similar matters or issues. Representing the of Enforcement and other senior Enforcement managers with other regulatory agencies and outside organizations, as appropriate. Providing performance feedback to other senior managers within and outside Enforcement. Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify novel or high priority matters. Meeting with investigative and attorney teams across all Enforcement locations to discuss investigative and analytical techniques. Assisting in the assignment and supervision of certain high-priority matters. Leading change in the Enforcement program by focusing on effective collaboration between investigative and attorney functions. Enhancing the working relationships and teamwork between Enforcement and other FINRA departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs. Leading special projects and producing special reports at the request of the Head of Enforcement. Attending and speaking at outside legal and industry regulatory conferences and FINRA meetings and speaking to the press and the industry on enforcement matters as needed. Other Responsibilities: Other duties as assigned. Qualifications Education/Experience Requirements: Position requires superior academic credentials, and a minimum of 10 of investigative experience in a regulatory, law enforcement, consulting or compliance role, comprised of: A minimum of seven of the spent working for a regulatory entity, law enforcement organization, forensic accounting or investigative consulting practice, member firm or law firm, with direct involvement in securities enforcement matters. A minimum of seven managing, leading and directing employees in a senior capacity in a team environment. Candidate must demonstrate superior investigative and legal skills and be able to prioritize a complex workload, make difficult decisions, and resolve difficult issues regarding the Department. Excellent, interpersonal, organizational, and oral and written communication skills are essential. Working Conditions: Work is normally performed in an office environment. Extended hours will be required on a regular basis. Primary office is in New York or Rockville, MD with some travel requirements.