Vice President, Enforcement Senior Advisor & Operations
Core
Senior advisor and operations leader shaping strategic direction and ensuring operational excellence for FINRA's Enforcement division.
Role type
Vice President, Enforcement Senior Advisor & Operations
Builds
Strategic frameworks, operational protocols, and cross-functional initiatives for FINRA's regulatory mission.
Domain
Financial Services Regulation / Securities Enforcement
Required skills
Strategic analysis, risk assessment, policy development, team leadership, stakeholder management, budget allocation, regulatory compliance, vendor management, performance metrics design, innovation driving
Preferred skills
MBA, JD, or advanced degree in business/law/finance; deep knowledge of U.S. broker-dealer industry; experience in financial services regulation/enforcement/compliance
Technologies
None explicitly stated
Responsibilities
Serve as trusted advisor to EVP on strategic and operational matters; lead strategic analysis and problem-solving for complex precedent-setting issues; drive innovation in enforcement operations; oversee Central Intake Group, Forensic Investigation and Litigation Support unit, and paralegal function; establish operating procedures and quality assurance frameworks; lead, mentor, and develop high-performing teams; act as liaison with internal functions and external government entities.
Seniority
Executive (VP level), hands-on strategic leadership & operational oversight
