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This position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high-impact, legally and politically complex and sensitive regulatory initiatives and rule changes. This position is recognized by FINRA and the industry as the top/primary expert in a partic...

Render senior-level legal advice and support in connection with the complete life cycle of the adoption of new regulatory initiatives, and serve as subject matter resource in one or more areas of legal expertise, including in the areas of registration and qualification, continuing education, statutory disqualifications, fingerprinting, and disclosures, among other areas. This is senior-level professional work in which inc...

The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacyExecute an effective risk-based legal strategy to assess the record fairly;Recommend a fair and effective outcome, accurately assessing the evidence and applying a wel...