Vice President, Enforcement Senior Advisor & Operations

Executive Vice President Of Enforcement

Reporting to the EVP of Enforcement, serves as a trusted thought leader, helping to shape Enforcement's strategic direction and operational excellence. Provides expert advice and sound judgment on a comprehensive range of operational, policy, and regulatory matters while acting as the EVP's delegate in mission-critical situations. Leads teams and functions that support Enforcement's core operations, enabling the senior management team to effectively advance FINRA's regulatory mission and convey Enforcement and Regulatory Operations strategic priorities. Operates with significant autonomy and decision-making authority within delegated areas, driving innovation and operational effectiveness across the organization.

Essential Job Functions:

• Serve as a strategic partner and thought leader to the EVP, operating as a trusted advisor on matters of significance to Enforcement and FINRA's regulatory mission. Exercise sound judgment and independent decision-making authority on matters within delegated scope; establish decision frameworks and protocols for escalation when EVP involvement is required.
• Lead strategic analysis and problem-solving on complex, precedent-setting matters; quickly assess incoming issues to determine severity and nature, and decide on appropriate action pathways.
• Provide actionable recommendations and strategic options that enable executive decision-making, including risk assessments, competitive intelligence, and clear next steps for the EVP and leadership team.
• Drive innovation in Enforcement operations; identify and shepherd implementation of special projects as identified and prioritized by the EVP, bringing fresh approaches to operational challenges.
• Provide expert advice and support on matters of strategic significancefrequently sensitive or confidential in naturerelated to the management and operations of Enforcement, including:
• Organizational structure, succession planning, and hiring/staffing decisions for key functions
• Strategic planning, risk assessment, and mitigation strategies
• Policy development and refinement
• Board materials and executive presentations
• Relations with member firms, other regulators, and government officials
• Budget and resource allocation recommendations for assigned functions

• Serve as a liaison and strategic partner across FINRA on Enforcement matters. Lead cross-functional initiatives spanning Regulatory Operations, Technology, Legal, Communications, Corporate Compliance, People Solutions, and other business units.
• Establish and maintain critical relationships with internal and external stakeholders; serve as the bridge between Enforcement and other departments to ensure seamless collaboration on cases, data sharing, and technology infrastructure.
• Lead or participate in enterprise-wide initiatives where Enforcement senior leadership and expertise are required, representing the department's interests and ensuring alignment with broader organizational objectives.
• Partner with Corporate Communications and Regulatory Operations Communications to develop and execute comprehensive communications strategies that deliver clear, consistent, and effective messaging across Enforcement, to FINRA stakeholders, to the Board, and to external audiences.
• Leverage deep expertise in Enforcement's operational, policy, and regulatory activities to advise FINRA's Communications on media responses, internal and external communications, case dispositions, and external speaking engagements.
• Serve as a liaison for Enforcement matters related to external information requests from Congress, GAO, state securities regulators, and other government entities.
• Liaise with Unified Services and appropriate internal functions to prepare for and respond to FSIO (Financial Services Industry Oversight) requests. Support planning and preparation for meetings with FSIO and lead implementation of FSIO-related remediation.
• Operational Leadership & Oversight of:
• Central Intake Group - oversee the intake, assessment, and assignment of all matters within Enforcement. Establish performance standards, quality metrics, and accountability measures to ensure consistent, efficient, and compliant case processing.
• Forensic Investigation and Litigation Support (FILS) unit - oversee the intake, archiving, tracking, and maintenance of digital information for Enforcement. Ensure compliance with litigation holds, data governance, and regulatory requirements.
• Enforcement vendors oversee to optimize value, manage costs, and ensure alignment with organizational needs and standards.
• Paralegal function - foster a culture of operational excellence, professional development, and regulatory focus. Establish clear performance expectations and accountability across the function.
• Establish operating procedures, quality assurance frameworks, and performance metrics for all functions under purview. Monitor performance and implement continuous improvements to drive efficiency and effectiveness.
• Lead, mentor, and develop high-performing teams; establish performance standards and accountability; foster a culture of operational excellence, regulatory focus, and continuous improvement.
• Build and maintain a collaborative environment where diverse perspectives are valued, and team members are empowered to contribute to Enforcement's mission.
• Exemplify and champion FINRA's values in all professional endeavors.
• Demonstrate exceptional collaborationboth in-person and virtuallyin furtherance of FINRA's mission of investor protection and market integrity.

Education/Experience Requirements

• Bachelor's degree or equivalent required, preferably in business or communications field.
• MBA, JD, or other advanced degree in business, law, finance, or related field strongly preferred.

• Minimum of 12+ years of progressive experience in financial services regulation, enforcement, compliance, or related roles, with at least 3-5 years in a senior leadership, advisory, or management capacity.

Skills & Attributes:

• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with the ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Deep knowledge of the regulation and operation of the U.S. broker-dealer industry, with familiarity with the broader landscape of financial regulation and self-regulatory organizations.
• Track record of successfully managing complex, multi-disciplinary teams and projects.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Excellent leadership skills, including the ability to organize and deal effectively with people from a variety of backgrounds in order to reach timely, informed decisions.
• Ability to operate with discretion and professionalism when handling sensitive and confidential matters.

Working Conditions

• Hybrid work environment, with defined in-person presence requirements
• Occasional travel required
• Extended hours required to support Enforcement operations and meet regulatory obligations