Principal Counsel, Enforcement

Min 7 yrs required

Full-time

No

The Principal Counsel, Enforcement position is a full-time role within the organization with a minimum of seven years of relevant legal experience in the financial regulatory space. This role is responsible for performing rigorous assessments and effective advocacy in Enforcement matters. The salary for this position is competitive and includes a discretionary bonus in addition to base pay.

Job Title: Principal Counsel, Enforcement

Experience: Minimum of seven years of relevant legal experience in the financial regulatory space

Salary: Competitive with discretionary bonus

Location: Multiple locations available, including 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; and Los Angeles, CA.

Time Type: Full time

Job Requisition ID: R-007990

Job Description:

The Principal Counsel, Enforcement is responsible for performing rigorous assessments and effective advocacy in Enforcement matters. This includes determining and executing an effective risk-based legal strategy, collaborating with investigative staff, researching and identifying legal requirements for charges, and recommending a fair and effective outcome. The Principal Counsel will also play a leading role in advancing settlement discussions, conducting litigation preparation, and drafting clear and organized analysis and advocacy documents. This position will also collaborate effectively with other Enforcement attorneys and FINRA departments, prioritize matters based on risk, and incorporate feedback into planning and execution.

Responsibilities:

- Determine and execute an effective risk-based legal strategy
- 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
- Play a leading role in advancing settlement discussions with respondents
- Conduct litigation preparation and contribute substantively to litigation
- 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
- Leverage data analytics and technology to advance investigations
- Collaborate effectively with other Enforcement attorneys
- Collaborate effectively with other FINRA departments
- Prioritize matters based on risk
- Collaborate effectively with managers and incorporate feedback into planning and execution

Qualifications:

- Minimum of seven years relevant legal experience in the financial regulatory space
- 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:

- Competitive salary with discretionary bonus
- Comprehensive health, dental, and vision insurance
- Additional insurance options
- 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution
- Tuition reimbursement
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in the first year)
- Two volunteer service days (based on full-time schedule)
- Other paid leave options, including military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, and childbirth and parental leave
- Nine 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 their role as a securities regulator.
- Employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement and comply with the company’s policy on nepotism.
- FINRA is an Equal Opportunity and Affirmative Action Employer, and abides by the requirements of 41 CFR ) and 41 CFR ).
- ©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; basic life, accidental death and dismemberment, supplemental life, short- and long-term disability, long-term care, business travel accident, disability and legal insurance; 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution; tuition reimbursement; 15 days of paid time off, 5 personal days, 9 sick days, and 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, and childbirth and parental leave (all available after 90 days of employment); and nine paid holidays (based on full-time schedule).

Not specified

Legal research, risk assessment, advocacy, settlement negotiations, litigation preparation, witness examinations, data analytics, technology, oral and written communication, interpersonal skills.

Not specified

Submit an application on FINRA's career site.

Qualification and Experience Minimum of seven years relevant legal experience in the financial regulatory space or related areas. Knowledge of securities laws and FINRA rules preferred.

Legal