Vice President, Enforcement Senior Advisor & Operations

Vice President, Enforcement Senior Advisor & Operations

About the Company

Astute legal firm

Industry
Financial Services

Type
Privately Held, Private Equity-backed

Founded
1936

Employees
1001-5000

Categories

• Finance
• Investment Banking
• Financial Services
• Non Profit

About the Role

The Company is seeking a VP, Enforcement Senior Advisor and Operations to join their team. The successful candidate will serve as a strategic partner and thought leader, providing expert advice on a wide range of operational, policy, and regulatory matters. This role involves leading teams that support the core operations of the enforcement division, driving innovation, and ensuring operational effectiveness. The VP will also be responsible for operational leadership and oversight, including the central intake group, forensic investigation and litigation support unit, and paralegal function. Applicants must have a Bachelor's degree, with an advanced degree strongly preferred, and a minimum of 12 years' experience in financial services regulation, enforcement, compliance, or related roles. The role requires a deep knowledge of the U.S. broker-dealer industry and a proven track record of managing complex, multi-disciplinary teams. The VP will be expected to operate with significant autonomy, make independent decisions, and establish decision frameworks for the EVP's involvement. Strong collaboration, leadership, and communication skills are essential, as is the ability to operate with discretion and professionalism in handling sensitive and confidential matters. The position also involves serving as a liaison across the organization and with external stakeholders, including government entities.

Hiring Manager Title
EVP of Enforcement

Functions

• Operations
• Legal