Director, Enforcement
Core
Manage a team of enforcement attorneys to develop and resolve securities enforcement cases from inception to completion, ensuring outcomes are supported by accurate factual findings and clear legal frameworks.
Role type
Senior management-level enforcement director (legal)
Builds
High-quality legal work products, settlement agreements, complaints, and litigation strategies for FINRA enforcement matters
Domain
Financial services regulation / Securities law enforcement
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work -> client delivery (regulatory enforcement outcomes)
Required skills
Securities regulation expertise, litigation management, legal analysis, team leadership, case prioritization, cross-functional collaboration, performance management
Preferred skills
Knowledge of Securities Exchange Act of 1934, experience managing complex investigations, experience with litigated matters (discovery, trial preparation)
Technologies
Legal research databases, case management systems
Responsibilities
Provide oversight and direction to enforcement attorneys; monitor case progress and prioritize high-risk matters; collaborate with investigative staff and other departments; manage staff assignments and development; oversee litigated matters including trial performance; identify and escalate legal interpretation or policy issues; ensure high-quality written work products.
Seniority
Director, senior management