Vice President, Enforcement Senior Advisor – Operations

Jobtailor; Colorado; On-site; USD 180,000 - 240,000; Full time

Job summary

Jobtailor is seeking a senior leader to partner with the EVP on enforcement and regulatory strategy in the U.S. broker‑dealer space. The role drives strategic analysis, independent decision‑making, and enterprise‑wide initiatives to strengthen programs and governance.

The ideal candidate holds an advanced business or legal degree and 12+ years in financial services regulation or enforcement, with senior leadership experience and strong communication skills.

Qualifications

• Bachelor's degree or equivalent required, preferably in business or communications field.
• MBA, JD, or other advanced degree in business, law, finance, or related field strongly preferred.
• Minimum of 12+ years of progressive experience in financial services regulation, enforcement, compliance, or related roles, with at least 3-5 years in a senior leadership, advisory, or management capacity.
• Strong collaborator and team builder.
• Excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills.
• Deep knowledge of the regulation and operation of the U.S. broker‑dealer industry.
• Familiarity with the broader landscape of financial regulation and self‑regulatory organizations.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Ability to operate with discretion and professionalism when handling sensitive and confidential matters.

Responsibilities

• Serve as a strategic partner and thought leader to the EVP.
• Exercise sound judgment and independent decision-making authority.
• Lead strategic analysis and problem‑solving on complex, precedent‑setting matters.
• Provide actionable recommendations and strategic options that enable executive decision‑making.
• Drive innovation in Enforcement operations; identify and shepherd implementation of special projects.
• Provide expert advice and support on matters of strategic significance related to Enforcement.
• Serve as a liaison and strategic partner across FINRA on Enforcement matters.
• Establish and maintain critical relationships with internal and external stakeholders.
• Lead or participate in enterprise‑wide initiatives.
• Develop and execute comprehensive communications strategies.

Skills

Strategic leadership

Communication skills

Interpersonal skills

Discretion and professionalism

Independent decision-making

Regulatory knowledge (US broker-dealer

Education

Bachelor's degree or equivalent

MBA/JD or related advanced degree

Job description

Responsibilities

• Serve as a strategic partner and thought leader to the EVP.
• Exercise sound judgment and independent decision-making authority.
• Lead strategic analysis and problem‑solving on complex, precedent‑setting matters.
• Provide actionable recommendations and strategic options that enable executive decision‑making.
• Drive innovation in Enforcement operations; identify and shepherd implementation of special projects.
• Provide expert advice and support on matters of strategic significance related to Enforcement.
• Serve as a liaison and strategic partner across FINRA on Enforcement matters.
• Establish and maintain critical relationships with internal and external stakeholders.
• Lead or participate in enterprise‑wide initiatives.
• Develop and execute comprehensive communications strategies.

Requirements

• Bachelor's degree or equivalent required, preferably in business or communications field.
• MBA, JD, or other advanced degree in business, law, finance, or related field strongly preferred.
• Minimum of 12+ years of progressive experience in financial services regulation, enforcement, compliance, or related roles, with at least 3-5 years in a senior leadership, advisory, or management capacity.
• Strong collaborator and team builder.
• Excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills.
• Deep knowledge of the regulation and operation of the U.S. broker‑dealer industry.
• Familiarity with the broader landscape of financial regulation and self‑regulatory organizations.
• Proven record of acting independently in an unstructured environment to identify and address challenges, seize opportunities, develop new initiatives, and strengthen existing programs.
• Ability to operate with discretion and professionalism when handling sensitive and confidential matters.