Job Details

Corporate - Securities and Capital Markets Attorney in Chicago, IL

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Company name

FINRA.

Organization Type

Public Interest

Job Type

Attorney

Practice Area

Corporate - Securities and Capital Markets

Years of Experience

Min 5 yrs required

Location

USA Chicago, IL

Date Last Verified

May 02,2018

Posted on

Apr 07,2018

37 hits

Profile

Senior Attorney, Market Regulation Enforcement - CBOE Duties: Plan for an participate in various tasks related to investigations pertaining to trading violations by member firms and associated persons including the gathering of documentation evidence and the analysis thereof. Researches and interprets rules, regulations, statutes, and decisions of regulatory and quasi-Judicial bodies. Advises Enforcement Director regarding laws, rules and regulations. Examines and analyzes data to recommend advisability of pursuing disciplinary action. Gathers and analyzes evidence to formulate cases or to initiate disciplinary action. Drafts memoranda summarizing investigative results and recommending whether to take further action. Under the direction of the Enforcement Director, prepares Letters of Caution and closing memoranda where formal disciplinary action is not recommend. Participates in interviewing witness and respondents, and dandling other details in preparation for disciplinary actions under the direction of the Enforcement Director. Works closely with Enforcement Director in preparing drafts of motions, responses, exhibits, briefs strategy, arguments, testimony, and settlement documents for corrective, remedial, or legal proceedings. Assists with disciplinary proceedings. Participates in negotiations and settlements. Drafts a variety of legal documents.

Qualification and Experience

Qualifications: Law degree and admission to the bar. 2-6 years relevant legal experience in a regulatory or legal environment. Advanced oral and written communication and litigation skills. Excellent interpersonal skills.

Additional info

Job Number: 006565. Send cover letter and resume with writing sample,

Company info

Hiring Coordinator
FINRA.
10 S La Salle Street
Suite 1110
Chicago, IL 60603-1000