Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

Title: Principal Counsel, Enforcement
Organization: FINRA (Financial Industry Regulatory Authority)
Location: Multiple 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)
Type: Full-time
Salary: Competitive, commensurate with experience
Experience: Minimum of 7 years in financial regulatory or related fields

H1: Join Our Team as a Principal Counsel in Enforcement
H2: Make a Difference in the Financial Industry as a Principal Counsel at FINRA

FINRA, the Financial Industry Regulatory Authority, is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. As a Principal Counsel, you will play a critical role in ensuring fair and effective enforcement of securities laws and FINRA rules. This is a full-time position with competitive salary and benefits, and offers the opportunity to work in multiple locations across the country.

Key Responsibilities:

- Develop and execute risk-based legal strategies for assessing evidence in Enforcement matters.
- Collaborate with investigative staff to plan investigations and develop a comprehensive record.
- Research and identify legal requirements for charges.
- Recommend fair and effective outcomes based on evidence and legal framework.
- Lead settlement discussions with respondents.
- Conduct litigation preparation and contribute to litigation by drafting complaints and conducting witness examinations.
- Draft clear and organized analysis and advocacy documents.
- Plan and conduct effective witness testimony.
- Draft precise and transparent settlement documents.
- Utilize data analytics and technology to advance investigations.
- Collaborate with other Enforcement attorneys and FINRA departments.
- Prioritize matters based on risk.
- Incorporate feedback from managers into planning and execution.

Requirements:

- Minimum of 7 years of relevant legal experience in financial regulatory or related fields.
- Knowledge of securities laws and FINRA rules preferred.
- Excellent oral and written communication and litigation skills.
- Excellent interpersonal skills.
- Ability to work outside of business hours and travel overnight if necessary.

Education and Experience:

- A minimum of 7 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.

Benefits:

- Comprehensive health, dental, and vision insurance.
- Life, accidental death and dismemberment, and supplemental life insurance.
- Short and long-term disability, long-term care, and business travel accident insurance.
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution.
- Tuition reimbursement and other benefits.

Time Off and Paid Leave:

- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year).
- 2 volunteer service days (based on full-time schedule).
- Military, jury duty, bereavement, voting and election official, and family care leave.
- Childbirth and parental leave (available after 90 days of employment).
- 9 paid holidays (based on full-time schedule).

Important Information:

- FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures related to our role as a securities regulator.
- Employees must disclose all brokerage accounts and authorize their broker-dealers to provide duplicate statements to FINRA.
- Employees must comply with investment restrictions, including disposing of securities on FINRA’s Prohibited Company List.
- Employees may only maintain securities accounts at firms that provide an electronic feed to FINRA.
- FINRA employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s nepotism policy.

Search Firm Representatives:

- FINRA does not accept unsolicited resumes from search firms without a valid written agreement and task order in place.
- All resumes submitted without a valid agreement and task order will be considered the sole property of FINRA.

FINRA is an 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 ) and 41 CFR ).
- FINRA provides accommodations for applicants with disabilities during the application process.

Join our team at FINRA and make a meaningful impact in the financial industry. Apply now!

Not specified

Comprehensive health, dental, and vision insurance; Life and disability insurance; Retirement plans; Paid time off; Volunteer service days; Military leave; Jury duty leave; Bereavement leave; Voting and election official leave; Care of family member leave; Childbirth and parental leave

Not specified

Legal research, Case assessment, Litigation preparation, Oral and written communication, Interpersonal skills, Collaboration, Prioritization, Data analysis, Technology utilization, Risk assessment and management, Negotiation, Mediation, Legal writing

Juris Doctor (J.D.) degree

Submit an application online

Qualification and Experience Juris Doctor (J.D.) degree, Bar admission, Minimum of 7 years of relevant legal experience in financial regulation or related areas

Legal