We Work to Protect Investors. Join our Team.The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Director, Enforcement opening in Rockville, MD or New York, NY. To be considered for this position, please submit your resume through our career site at www.finra.org/careers no phone calls, please. Whats your passion? FINRAs is protecting investorsand stopping those who harm them. If you are interested in joining a mission-driven organization, and working with a team of highly-skilled attorneys and investigators to tackle complex legal issues, then the role of Director might be for you. Join FINRAs Enforcement teamand help us achieve our mission of investor protection and market integrity. About us: Dedication. Diversity. Integrity. At FINRA, we believe in our smart, passionate employees. And we believe in protecting Americas 90 million investors and the integrity of the markets. Were committed to maintaining a diverse, high-performance workplace. We do this not only by offering a competitive compensation package, but also by fostering an inclusive work environment to help each employee reach his or her full potential. The role: FINRAs Enforcement Department is tasked with investigating potential securities violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. We have an exciting opportunity for an experienced attorney to fill the role of Director. Enforcement Directors are responsible for ensuring that Enforcement attorneys conduct thorough and thoughtful factual and legal analysis to achieve optimal outcomes in every Enforcement matter. The Director manages a team of attorneys, who may be located in different locations, handling a diverse docket of cases covering a number of subject matter areas. The Director works closely with his or her team to achieve high quality legal work, including monitoring investigations to ensure they are adequate and strategic, and reviewing legal analysis to ensure that conclusions of law are based on clear and well-supported legal principles. Directors are also responsible for monitoring case progress to ensure timely progression and appropriate prioritization of high-risk matters. Directors are required to closely collaborate with investigative staff, both within Enforcements investigations unit and within the Member Regulation and Market Regulation departments, to jointly develop an accurate and complete factual record governed by a legal framework. The Director also works with the Chief Counsel to identify interpretive questions and potential policy issues that arise during the course of an Enforcement matter, and provide guidance to teams regarding FINRAs position and response on such issues. In addition, Directors work closely with Chief Counsels on staffing assignments and staff development to efficiently leverage attorneys skills and expertise and maximize each attorneys contributions and growth. As Director, you will: 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 foreseeable and 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 Enforcement investigators and with other FINRA departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, 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 FINRAs 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 escalate potential issues of legal interpretation, policy and risk in Enforcement matters on the teams docket. Effectively and frequently communicate with Enforcement senior management about potential issues and questions. Identify and escalate matters involving complex and novel legal theories in order to coordinate as needed, including monitoring developments and advising on risks and outcomes. Identify opportunities to enhance effectiveness through cross-staffing and specialized assignments, and solicit and provide feedback to staff based on observations from other managers. Continuously provide performance feedback to direct reports. Provide performance feedback to other managers regarding their staffs work and collaboration. Review dockets and reports, and meet regularly with staff to monitor quality and timeliness of case progression. Youll get: A competitive compensation and benefits package, including eligibility to receive incentive compensation. Work-life balance and access to professional development training and programs. The opportunity to grow your career and reach your full potential. The opportunity to work with a group of high-performing, diverse and dedicated professionals. The opportunity to make a difference by protecting investors and maintaining market integrity through your work. SDL2017