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

Posted in Police/Fire/Emergency 14 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


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

  • 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

  • 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


Please note: If the
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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
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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.
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Find out more about us
and how we work—and view our current openings—at

Search Firm Representatives

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is not seeking assistance or accepting unsolicited resumes from search firms
for this employment opportunity. Regardless of past practice, a valid written
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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

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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