Chief Counsel Market Regulation Enforcement

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Chief Counsel, Market Regulation Enforcement
The candidate will be responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex caseload. Manages a team of attorneys and directors, who may be located in different offices, with a widely diverse docket of cases covering a number of subject matter areas. Provide guidance to attorneys and directors regarding proposed Enforcement outcomes and other regulatory responses, to achieve consistent decision-making based on risk. Responsible for achieving foreseeable charges and sanctions in Enforcement matters under management, including adherence to company’s priorities and principles. Responsible for achieving transparency in Enforcement outcomes and documents, such as settlement agreements and Complaints. Identify and monitor potential issues of legal interpretation, policy and risk in Enforcement matters on the team’s docket. Effectively and frequently communicate with Enforcement senior management about potential issues and questions, and participate in discussions about company’s position and response with others across company, in coordination with Enforcement senior management. Monitor novel issues, high-profile or noteworthy cases on an ongoing basis, and provide ongoing updates to Enforcement senior management and the Enforcement department. Actively manage and support the attorneys’ and directors’ working relationships and teamwork with Enforcement investigators and with other company departments, including Member Regulation, Market Regulation, Office of Fraud Detection and Market Intelligence, Office of General Counsel and Office of Disciplinary Affairs. Work closely with peers within and outside of Enforcement to achieve effective information-sharing and a strategic partnership in developing a factual record supported by a well-reasoned legal framework. Provide direction and management to Enforcement attorneys and directors to maximize productivity and cost-effectiveness, and achieve timely and foreseeable high-quality Enforcement outcomes. This includes looking for opportunities to enhance effectiveness through cross-staffing and specialized assignments, and soliciting and providing feedback to staff based on observations from managers outside the Chief Counsel’s direct reporting lines. Provide strategic guidance and oversight of disciplinary litigation, including Enforcement’s most complex litigation matters; collaborate closely with Enforcement’s Chief Litigation Counsel to achieve appropriate staffing, preparation and execution of hearings and appeals. Manage specialized teams as needed to achieve a coordinated approach to similar matters or issues. Actively manage teams handling high-priority and complex matters throughout the lifecycle of the matter, including providing regular updates to Enforcement senior management and business partners throughout company. Serve as a key source of legal expertise within company on Enforcement related matters. Provide performance feedback to other senior managers within and outside Enforcement. Review dockets and reports, and meet regularly with staff to monitor quality and timeliness of case progression. Continuously provide performance feedback to direct reports and the attorneys they manage. Lead change in the Enforcement program by focusing on risk-based Enforcement decision-making and analytical rigor. Lead special projects as requested. Attend and speak at outside legal and industry regulatory conferences and company meetings, and speak to the press and the industry on enforcement matters as needed. Overseeing all investigative plans, reviewing and commenting upon complaints, proposed pleadings and respondent responses; reviewing and approving proposed disciplinary actions, settlements, default motions and, where appropriate, other matters from district offices. Ensuring timely and quality investigations and legal actions for all matters. Managing the workload and productivity associated with multiple case teams within the Center. Review incoming items identified by staff to consider whether to recommend opening for investigations. Determining the skill requirements for assignment of cases based on the nature of a matter and assigning staff accordingly. Acting as the direct liaison with referral sources such as Member Regulation, Office of Fraud Detection and Market Intelligence, Market Regulation, Advertising, Corporate Finance, Dispute Resolution, the SEC and other referral sources. In addition, acting as the primary liaison to the Office of Disciplinary Affairs regarding review and approval of settlements and formal complaints within the scope of the Enforcement Centers. Advising senior management regarding the full range of investigative and legal issues impacting the Enforcement program. Taking a leadership role in resolving complex, difficult or large matters involving important, sensitive, or novel issues including evaluating the legal theories in support of charges primarily regarding “cutting edge” cases where there is a lack of precedent. Escalating disputes regarding the execution of a matter within or among Enforcement Centers or other company business units for timely resolution so as not to impact the execution of the matter. Serving as a key source of legal expertise within company on enforcement-related matters. Conducting and participating in special projects and press contacts as required. Participating in managing the Department by conducting attorney meetings, participating in staff meetings, overseeing legal contribution to the Department’s training program. Evaluating all Enforcement Center staff regarding performance for merit and incentive compensation. Attending and speaking at outside regulatory and industry conferences and company meetings.

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