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Job Details

Director Enforcement

Company name

7 yrs required

Rockville, MD, United States

Employment Type


Posted on
Mar 23, 2020


Job Description:

The Enforcement Director manages a team of 5-8 Enforcement attorneys developing and resolving Enforcement cases through all stages, from inception to completion. The Director is the day-to-day manager of a large and diverse docket of cases, responsible for ensuring that the outcome in every matter is supported by complete, accurate and well-supported factual findings applied to a clear legal framework. The Director is also responsible for monitoring the aging and progress of cases to ensure that matters are resolved promptly and prioritized appropriately using FINRA’s risk-based approach. The Director works closely with the Chief Counsel and other Enforcement managers to achieve consistent and foreseeable Enforcement outcomes, including by identifying and escalating interpretive issues. The Director also facilitates active and effective collaboration between Enforcement attorneys and FINRA investigative staff within and outside of Enforcement. Finally, the Director manages staff performance and development by working with the Chief Counsel to achieve appropriate staff assignments and development opportunities.

Essential skills include the ability to communicate effectively with team members in different geographic locations, to assess the quality of cases by applying a rigorous analytical framework, to effectively prioritize and progress matters in a timely fashion, to successfully collaborate with senior management in Enforcement and other departments, and to manage personnel effectively.

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 Enforcement’s 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 FINRA’s 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 attorney’s contributions and growth.


Education/Experience Requirements:

  • Position requires a law degree, superior academic credentials, and admission to the bar of the highest court of the District of Columbia or state. 
  • Requires a minimum of seven years of securities-related regulatory and/or complex litigation experience.
  • A minimum of five of the years spent working for a regulatory entity, member firm or law firm, with direct involvement in securities enforcement matters. 
  • Substantial experience managing, leading and directing employees in a team environment. 
  • 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.

Work Conditions:

  • Work is normally performed in an office environment. 
  • Extended hours will be required on a regular basis. 
  • Some travel requirements.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.


The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.


Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach our site directly.


FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations.


In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.


Important Information


FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.


You can read more about these restrictions here.


Company info


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