Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

H1: Principal Counsel, Enforcement - Competitive Salary and Benefits
H2: Join Our Team at FINRA - Apply Today!

Summary:

FINRA, a leading financial regulatory organization, is seeking a highly experienced Principal Counsel to join their Enforcement team. The successful candidate will be responsible for conducting rigorous assessments and advocating for fair outcomes in enforcement matters. This full-time position offers a competitive salary and benefits package.

Key Responsibilities:

- Develop and execute a risk-based legal strategy for assessing cases
- Collaborate with investigative staff to plan and develop cases
- Research and identify legal requirements for charges
- Recommend fair and effective outcomes based on evidence and legal framework
- Lead settlement discussions with respondents
- Prepare for and conduct effective witness examinations and on-the-record testimony
- Draft clear and organized analysis and advocacy documents
- Leverage data analytics and technology to advance investigations
- Collaborate with other Enforcement attorneys and FINRA departments
- Prioritize cases based on risk
- Incorporate feedback from managers into planning and execution

Requirements:

- Minimum of 7 years of relevant legal experience in financial regulatory space
- Knowledge of securities laws and FINRA rules preferred
- Excellent communication and litigation skills, both oral and written
- Strong interpersonal skills

Work Conditions:

- May require work outside of business hours and overnight travel

To Apply:

Interested candidates should submit an application through FINRA's website. Applications are accepted on an ongoing basis.

Education/Experience:

- A minimum of 7 years of relevant legal experience in the financial regulatory space
- Knowledge of securities laws and FINRA rules preferred
- Excellent communication and litigation skills, both oral and written
- Strong interpersonal skills

Benefits:

- Comprehensive health, dental, and vision insurance
- Basic and supplemental life insurance
- Short and long-term disability insurance
- 401(k) plan with company match
- Tuition reimbursement
- Paid time off, including vacation, personal, and sick days
- Volunteer service days
- Paid holidays

Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's nepotism policy
- Candidates must be able to comply with investment restrictions, including disposing of any securities issued by a company on FINRA's Prohibited Company List
- Search firm representatives are not authorized to submit resumes without a valid written agreement and task order in place
- FINRA is an equal opportunity and affirmative action employer, providing employment opportunities 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
- FINRA abides by the requirements of 41 CFR ) and 41 CFR ) - prohibiting discrimination against qualified individuals with disabilities and protected veterans, respectively

Join the team at FINRA and make a difference in the financial industry. Apply today and take the next step in your career as a Principal Counsel in Enforcement.

Not specified

Health, dental, and vision insurance, life and disability insurance, retirement plans, paid time off, volunteer service days, and other benefits

Not specified

Legal research, Legal writing, Communication, Collaboration, Data analytics, Technology proficiency

Juris Doctor (JD) degree from an accredited law school

Submit application through FINRA Careers site

Qualification and Experience Juris Doctor (JD) degree from an accredited law school

Legal