Job Details

Principal Counsel, Enforcement

Company name

FINRA. 

Organization Type

Public Interest

Job Type

Attorney

Date Last Verified

Mar 05, 2021

Valid Through

Jun 18, 2021

Posted on

Dec 02, 2020

Years of Experience

Min 6 yrs required

Location

Los Angeles, CA, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Government and Government Relations >> Government and Government Relations
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Profile

Principal Counsel, Enforcement
Duties: Resolve all types of Enforcement matters based on objective and complete assessment of the facts and law, including independently resolving non-complex matters. Determine and execute an effective risk-based legal strategy to complete and assess the record fairly; Recommend a fair and effective outcome, accurately assessing the evidence and applying a well-reasoned legal framework to the case; Identify potential risks, defenses, individual liability, and Principal Considerations; Accurately and succinctly discuss any factual issue and advocate for position in meetings with respondents and other stakeholders; Effectively negotiate settlements, demonstrating knowledge of the record, familiarity with the law and potential defenses, and sensitivity to potential risks; Play a leading role determining effective litigation strategy, and conduct non-complex witness examinations in litigation with minimal direction; Draft clear and organized analysis, and effective advocacy documents; Plan and conduct/oversee OTRs, independently demonstrating technical ability to develop a complete and defensible transcript, and substantive ability to elicit legally relevant information. Achieve Enforcement outcomes that are foreseeable and transparent, including independently resolving non-complex matters. Research and identify the legal requirements for charges; Identify and assess relevant Principal Considerations; Recommend charges and sanctions consistent with priorities and principles; Identify and escalate issues where rule and guidance are ambiguous or silent; Identify potential regulatory duplication or inconsistencies, and contribute to communications with other regulators to resolve; Contribute to collaborations with other departments regarding interpretive or policy issues; Clearly explain legal reasoning in meetings with respondents and other stakeholders. Draft and finalize settlement documents that require only minor revisions by managers and that clearly describe the facts, the basis for charges, and the Principal Considerations that support the sanction. Resolve all types of Enforcement matters timely, including independently resolving non-complex matters. Prioritize matters based on risk; Establish timelines and meet them, including directing the work of other team members to progress the case in a timely fashion; Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real time; Identify and escalate matters or issues that require re-prioritization, and recommend next steps or alternative approaches; Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing; Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter; Efficiently produce written work product. Collaborate with investigative staff to produce a sound factual record, including independent collaboration in non-complex investigations. Partner with investigative staff on investigations to fully and efficiently develop the record; Proactively provide relevant and accurate legal advice to investigative and legal staff ; Advise investigation staff on concerns or needs related to potential litigation, such as required witness testimony or evidence related to defenses; For team-based matters: Keep managers informed and incorporate feedback into planning and execution; Identify opportunities to work with other staff or leverage other matters for more efficient results, and manage team’s work product; Identify potential team members based on expertise, skills, and case demands; Counsel other staff on efficient ways to leverage collective knowledge and work across the organization; Effectively communicate with other team members about factual and legal issues for analysis; For non-complex matters: Identify and oversee writing assignments for other staff members where possible to achieve more efficient results.

Qualification and Experience

Requirements: Law degree and admission to the Bar. 6+ years'’ relevant legal experience in a regulatory or legal environment. Excellent oral and written communication and litigation skills. Excellent interpersonal skills. Demonstrate ability to perform independently in non-complex matters, and provide high quality work in team-based matters. Demonstrate ability to prepare investigative staff for litigation; Work effectively with investigative staff to ensure that written descriptions of non-complex matters are supported by the record, accurate and clear. Demonstrate the ability to meet the goals above with minimal supervision or day-to-day direction from managers; Demonstrate the ability to conduct any witness examination in litigation.

Company info

Hiring coordinator
FINRA.
300 South Grand Avenue
16th Floor
Los Angeles, CA 90071

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