4 дня назад
Director, Enforcement
154 400 - 312 600$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Director, Enforcement (Securities Regulation): Managing Enforcement attorneys and a diverse docket of securities-regulation cases from investigation through resolution with an accent on legal analysis, risk-based prioritization, and litigation oversight. Focus on developing complete factual records, resolving complex legal interpretation issues, and leading attorney performance and collaboration across FINRA.
Location: Jericho, New York, United States; hybrid work with defined in-person presence requirements
Salary: $154,400–$312,600 annual base salary for NY/NJ
Company
is a securities regulator focused on investor protection and market integrity.
What you will do
- Manage 5–8 Enforcement attorneys and oversee cases from inception through completion.
- Review factual records, legal analysis, charges, sanctions, settlement agreements, and complaints for quality and consistency.
- Monitor investigations, case aging, staffing needs, and risk-based prioritization to support timely resolutions.
- Coordinate with investigators and departments, including Examinations, Surveillance, the Office of General Counsel, and the Office of Disciplinary Affairs.
- Guide complex and novel legal matters, policy questions, regulatory responses, discovery, trial preparation, and litigation strategy.
- Manage employee performance, assignments, feedback, and professional development.
Requirements
- Bachelor’s degree and at least 10 years of experience in securities regulation, compliance, or litigation.
- Law degree and appropriate licensure to practice law in all applicable jurisdictions.
- Excellent oral and written communication skills.
- Ability to manage multiple complex investigations involving securities law violations and apply rigorous legal analysis.
- Experience managing, leading, and evaluating employees in a team environment.
- SIE certification or an acceptable industry equivalent is required upon hire or within 16 months of the assigned SIE training cohort.
Nice to have
- Knowledge of federal securities laws, particularly the Securities Exchange Act of 1934.
Culture & Benefits
- Hybrid collaboration across in-person and virtual environments.
- Health, dental, vision, disability, life, and other insurance programs.
- 401(k) plan with company match and an additional -funded retirement contribution may be available.
- Tuition reimbursement, commuter benefits, wellness programs, backup family care, adoption assistance, and surrogacy benefits.
- Paid time off, personal and sick days, volunteer service days, paid holidays, and additional family, parental, military, jury duty, and bereavement leave.
- Employees must comply with investment-account disclosure and securities-trading restrictions.
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