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Vice President of Investigations - Enforcement - Rockville, MD or New York, NY at FINRA

Posted in Police/Fire/Emergency 30+ days ago.

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Type: Full-Time
Location: Rockville, Maryland

Job Description:

We Work to Protect Investors. Join our Team.


The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Vice President of Investigations opening in Rockville, MD or New York, NY. To be considered for this position, please submit your resume through our career site at – no phone calls, please.


Job Summary:

The VP of Investigations (the “VP Investigations”) manages the performance of Enforcement’s Investigative Directors and their teams of investigators, located in numerous locations as needed.  The VP Investigations works closely with the Deputy Head of Enforcement and other senior managers in Enforcement to monitor and advise on high-impact and noteworthy investigations across the department, and collaborates with Technology, the Office of Fraud Detection and Market Intelligence, the Department of Market Regulation, and other departments across FINRA to enhance and develop investigative techniques and tools.  The VP Investigations also manages the Director of Forensic Investigations and Litigation Support, and works closely with that Director to support and further develop FINRA’s use of e-discovery technologies.


Essential skills include the ability to communicate effectively across a widely-dispersed department, to successfully collaborate with senior management in other departments, to lead change across the department, and to oversee the efficient execution of complex and high profile investigations. 

Essential Job Functions:

The VP Investigations is tasked with department-wide responsibility for developing and enhancing Enforcement’s investigative capabilities, including the use of e-discovery, data analysis, and forensic accounting.  The VP Investigations coordinates the staffing of investigators to Enforcement investigations, to leverage expertise efficiently and achieve cost-effective results.  The VP Investigations works closely with the Deputy Head of Enforcement to achieve collaborative and effective investigations, and to effectively provide the department real-time feedback and updates on achievements, emerging issues, new technologies and tools, challenges and “lessons learned.”  The VP Investigations works closely with Investigative Directors across the entire department to facilitate an ongoing dialogue about investigative techniques and approaches.  The VP Investigations oversees the recruitment and professional development of the managers and investigators in the group, and is responsible for the culture and work ethic of the team.  Finally, the VP Investigations manages the Director of Forensic Investigations and Litigation Support, and works with that team to develop standards and best practices for the use of e-discovery tools and technology.


Specific responsibilities include:

  • Managing and developing Enforcement investigative directors and the investigators that report to them.

  • Collaborating with senior managers across FINRA to develop and implement enhanced investigative tools and techniques.

  • Overseeing systems training for investigators.

  • Enhancing FINRA’s e-discovery expertise and developing an enterprise-wide solution for efficient and cost-effective e-discovery.

  • Recruiting and hiring a team of investigators with diverse and complementary skills, and assigning them to matters that leverage their experience and expertise to develop a robust factual record for Enforcement matters. 

  • Managing and developing the Forensic Investigations and Litigation Support team to facilitate standardized and efficient use of e-discovery tools and procedures.

  • Partnering with Enforcement senior management to identify and monitor high-profile or noteworthy cases on an ongoing basis, and provide ongoing updates to the EVP of Enforcement and the Enforcement department.

  • Overseeing the ongoing development and implementation of department-wide training programs.

  • Providing feedback regarding attorneys’ collaborative and investigative skills to their managers.

  • Managing specialized teams as needed to achieve a coordinated approach to similar matters or issues.

  • Representing the EVP of Enforcement and other senior Enforcement managers with other regulatory agencies and outside organizations, as appropriate.

  • Providing performance feedback to other senior managers within and outside Enforcement.

  • Reviewing dockets and reports, and meeting regularly with senior Enforcement staff to identify novel or high priority matters.

  • Meeting with investigative and attorney teams across all Enforcement locations to discuss investigative and analytical techniques.

  • Assisting in the assignment and supervision of certain high-priority matters.

  • Leading change in the Enforcement program by focusing on effective collaboration between investigative and attorney functions.

  • Enhancing the working relationships and teamwork between Enforcement and other FINRA departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs.

  • Leading special projects and producing special reports at the request of the Head of Enforcement.

  • Attending and speaking at outside legal and industry regulatory conferences and FINRA meetings and speaking to the press and the industry on enforcement matters as needed.

Other Responsibilities:

  • Other duties as assigned.

Education/Experience Requirements:

  • Position requires superior academic credentials, and a minimum of 10 years of investigative experience in a regulatory, law enforcement, consulting or compliance role, comprised of:

    • A minimum of seven of the years spent working for a regulatory entity, law enforcement organization, forensic accounting or investigative consulting practice, member firm or law firm, with direct involvement in securities enforcement matters.  

    • A minimum of seven years managing, leading and directing employees in a senior capacity 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.

Working Conditions:

  • Work is normally performed in an office environment.  

  • Extended hours will be required on a regular basis.  

  • Primary office is in New York or Rockville, MD with 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.


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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.


As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.



FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers.

FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country.

Find out more about us and how we work—and view our current openings—at

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.


FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.


FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.


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