Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

FINRA is seeking a Principal Counsel, Enforcement to join our team in various locations across the US. This position offers a competitive salary and benefits package, including a discretionary bonus, comprehensive health, dental and vision insurance, 401(k) plan with company match, and many other benefits.

Principal Counsel, Enforcement

- Competitive salary and benefits package
- Full-time position
- Job requisition ID: R-007990
- Locations: Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; San Francisco, CA; Philadelphia, PA; New York, NY; Los Angeles, CA

Overview:

FINRA, the Financial Industry Regulatory Authority, is seeking a Principal Counsel, Enforcement to join their team in various locations across the US. This position offers a competitive salary and benefits package, including a discretionary bonus, comprehensive health, dental and vision insurance, 401(k) plan with company match, and many other benefits.

Responsibilities:

- Perform rigorous assessment and effective advocacy in Enforcement matters.
- Determine and execute an effective risk-based legal strategy to assess the record fairly.
- Collaborate with investigative staff to plan investigations and fully develop the record.
- Research and identify the legal requirements for charges.
- Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case.
- Play a leading role in advancing settlement discussions with respondents.
- Conduct litigation preparation and contribute substantively to litigation, including drafting complaints and conducting witness examinations.
- Draft clear and organized analysis and effective advocacy documents.
- Plan for and conduct effective on-the-record testimony of witnesses.
- Draft precise and transparent settlement documents.
- Utilize data analytics and technology to advance investigations.
- Collaborate effectively with other Enforcement attorneys and departments.
- Prioritize matters based on risk.
- Incorporate feedback into planning and execution.

Requirements:

- A minimum of seven years of relevant legal experience in the financial regulatory space or related areas.
- Knowledge of securities laws and FINRA rules preferred.
- Excellent oral and written communication and litigation skills.
- Excellent interpersonal skills.

Work Conditions:

- Work outside of business hours and overnight travel may be required.

Education/Experience:

- A minimum of seven years relevant legal experience in the financial regulatory space, or related areas.
- Knowledge of securities laws and FINRA rules preferred.
- Excellent oral and written communication and litigation skills.
- Excellent interpersonal skills.

Benefits:

- Comprehensive health, dental and vision insurance.
- Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
- 401(k) plan with company match.
- Additional FINRA-funded retirement contribution.
- Tuition reimbursement.
- 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year).
- 2 volunteer service days (based on full-time schedule).
- Military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave (available after 90 days of employment), and childbirth and parental leave (available after 90 days of employment).
- 9 paid holidays (based on full-time schedule).

Important Information:

- FINRA employees are required to disclose all brokerage accounts they maintain and authorize their broker-dealers to provide FINRA with duplicate statements.
- Employees must comply with investment restrictions, including disposing of any security issued by a company on FINRA's Prohibited Company List.
- Employees may only maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA.
- Employees must execute FINRA's Employee Confidentiality and Invention Assignment Agreement and follow the policy on nepotism.
- Employees must comply with FINRA's Code of Conduct.

Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA.
- All resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA, and no fee will be paid if the person is hired.

Equal Opportunity and Affirmative Action Employer:

- All qualified applicants will receive consideration for employment 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 ), prohibiting discrimination against qualified individuals with disabilities.
- FINRA abides by the requirements of 41 CFR ), prohibiting discrimination against qualified protected veterans.

Copyright ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, retirement contributions, tuition reimbursement, generous time off, volunteer service days

Not specified

Legal research, risk assessment, advocacy, litigation, negotiation, data analytics, technology, collaboration, communication, time management

Juris Doctor degree

Submit application through FINRA Careers website ()

Qualification and Experience Juris Doctor degree, bar admission

Legal