Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Date Last Verified
Years of Experience
Additional Locations: Chicago, IL & Rockville, MD
The Enforcement Chief Counsel leads teams of Enforcement directors and the attorneys who report to them, to manage Enforcement cases through all stages from inception to completion. The Chief Counsel is a senior legal advisor to Enforcement and is responsible for achieving consistent and foreseeable Enforcement outcomes, including by identifying interpretive issues and collaborating with other senior managers across FINRA to develop an effective regulatory response. The Chief Counsel is responsible for achieving active and effective collaboration between Enforcement attorneys and FINRA investigative staff within and outside of Enforcement. The Chief Counsel is also responsible for actively managing staff performance and development, including ensuring that staffing assignments leverage attorney skills appropriately.
Essential skills include the ability to communicate effectively across a widely-dispersed department, to successfully collaborate with senior management in Enforcement and other departments, to manage personnel (including team members in remote locations) effectively, and to oversee the efficient execution of enforcement matters.
Essential Job Functions:
Enforcement Chief Counsels are responsible for managing Enforcement outcomes and implementing priorities for the Enforcement department, ensuring maximum productivity and effectiveness with a large and complex caseload. The Chief Counsel 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. The Chief Counsel and his or her team are required to closely collaborate with investigative staff, both within Enforcement’s investigations unit and within the Member Regulation and Market Regulation departments, to develop an accurate and complete factual record. The Chief Counsel is responsible for identifying interpretive questions and potential policy issues that arise during the course of an Enforcement matter, and providing guidance to teams regarding FINRA’s position and response on such issues. To do so, the Chief Counsel works closely with Enforcement management and other FINRA departments to identify, escalate and strategically manage matters that involve novel or unique questions, to achieve a consistent response on behalf of FINRA. Chief Counsels across the entire department work closely with senior management to facilitate an ongoing dialogue about Enforcement decision-making, to achieve timely and foreseeable Enforcement outcomes in accordance with the department’s priorities and principles. In addition, Chief Counsels are responsible for leveraging attorneys’ skills and expertise appropriately through case assignments, and achieving an efficient staffing model that maximizes each attorney’s contribution.
Specific responsibilities include:
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.