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Senior Vice President, Enforcement Legal
We are currently looking for two Senior Vice Presidents to join our Enforcement Legal team. The Senior Vice President, Enforcement Legal role acts as a senior legal advisor to the EVP of Enforcement, responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the department and in coordination with FINRA’s Regulatory Operations partners, as well as managing the performance of the Enforcement attorney teams. The SVP works closely with the EVP, and the VPs ', Enforcement Investigations in monitoring and advising on high-impact and noteworthy investigations in Enforcement and across Regulatory Operations, as well as identifying and monitoring Enforcement matters involving high-risk firms and brokers across the


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