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 Regulatory Operations to work as one integrated Regulatory Operations team with the goal of addressing industry misconduct in an efficient, timely, and effective manner. The VP is responsible for ensuring that Enforcement, in coordination with Regulatory Operations, provides exemplary service to FINRA’s regulatory service agreement customers consistent with each exchange customer’s particular rules, program, priorities and needs. Essential skills include the ability to communicate effectively, to successfully collaborate with management in Enforcement, across Regulatory Operations, and other departments, and to oversee the efficient execution of complex and high-profile enforcement matters. Along with Enforcement senior management, the VP supports program goals and priorities for the entire department and works closely with Enforcement senior managers to effectively communicate the department’s priorities and provide real-time feedback and updates to the department on legal developments, achievements, emerging issues, RSA client developments, challenges and “lessons learned.” The VP manages their attorney teams and supervises directors and attorneys on those teams, ensuring maximum productivity, effectiveness, and engagement with a large and complex caseload – taking a data driven approach wherever possible. The VP, in partnership with the SVP, oversees the recruitment and professional development of the managers and attorneys in the teams, and is responsible for the culture and work product of the teams. The VP also ensures that the attorney teams achieve timely and foreseeable Enforcement outcomes in accordance with the department’s priorities, policies, and principles. The VP works closely with Member Supervision and Market Regulation Transparency Services senior management to facilitate effective daily collaboration, including early onboarding and counseling by Enforcement attorneys, efficient sharing of documents and information, effective investigations and timely resolutions. Specific responsibilities include : Working with the SVP and Enforcement senior management to identify and monitor high-profile or noteworthy cases on an ongoing basis, and providing ongoing updates to the EVP of Enforcement and the Enforcement department. Providing direction and management to the Enforcement attorneys and managers, to maximize productivity and cost-effectiveness, and achieve timely and foreseeable high-quality Enforcement outcomes. This includes looking for opportunities to enhance effectiveness through cross-staffing and specialized assignments, and soliciting and providing feedback to staff based on observations from managers outside the VP’s direct reporting lines. Identifying matters involving complex legal theories and high risk in order to escalate and coordinate as needed, including monitoring developments, communicating with other departments and / or other regulators, and advising on risks and outcomes. Serving as a primary source of legal expertise within FINRA on Enforcement-related matters. Providing performance feedback to other senior managers within and outside Enforcement, as appropriate. Ensuring that litigation documents are of high quality and working closely with Enforcement’s Litigation team through the complaint process. Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify high-priority matters. Assisting in the assignment and supervision of certain high-priority matters. Providing support to the Operations and Technology functions of Enforcement to advance the departmental goals and achieve excellence. Enhancing the working relationships and teamwork between Enforcement and other FINRA departments, including Member Supervision, Market Regulation Transparency Services, Office of General Counsel, Office of Disciplinary Affairs, Technology, and Board and External relations teams. Leading special projects and producing special reports at the request of the SVP or the senior leadership team. 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. Education / Experience Requirements : A law degree and appropriately licensed to practice law in all applicable jurisdictions based on the relevant licensing requirements. Requires a minimum of 10 years of complex litigation experience, preferably involving securities laws, including : A minimum of seven years managing, leading and directing employees in a senior capacity in a team environment. A minimum of five years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters. 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. For work that is performed in CA, CO, IL, Jersey City, NJ, New York City, NY, MA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons . CA : Minimum Salary $192,800, Maximum Salary $379,700 Minimum Salary $192,800, Maximum Salary $379,700 Minimum Salary $192,800, Maximum Salary $379,700 Jersey City, NJ / NYC, NY : Minimum Salary $192,800, Maximum Salary $379,700 MA : Minimum Salary $192,800, Maximum Salary $379,700 MD / Washington, DC : Minimum Salary $192,800, Maximum Salary $379,700 NJ State : Minimum Salary $192,800, Maximum Salary $379,700 NY State : Minimum Salary $192,800, Maximum Salary $379,700 Including positions performed outside the state but reporting to an office or manager in that state. Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA. LI-Hybrid

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