Principal Counsel, Enforcement

Full-time

No

Principal Counsel, Enforcement - Salary Information

Organization: FINRA
Job Title: Principal Counsel, Enforcement
Experience: Minimum of 7 years of relevant legal experience in financial regulatory space or related areas.
Salary: Competitive salary based on experience and qualifications.

H1: Principal Counsel, Enforcement - Join FINRA's Legal Team
H2: Seeking Experienced Legal Professionals for Principal Counsel Role

FINRA is currently hiring for the position of Principal Counsel, Enforcement, in various locations including Rockville, MD; Jersey City, NJ; Jericho, NY; Denver, CO; and Dallas, TX. We are also hiring in Chicago, IL; Boston, MA; Boca Raton, FL; Woodbridge, NJ; Washington, DC; San Francisco, CA; Philadelphia, PA; New York, NY; and Los Angeles, CA. This is a full-time position with a competitive salary based on experience and qualifications.

As a Principal Counsel in our Enforcement division, you will play a crucial role in performing rigorous assessments and advocating for fair outcomes in matters related to securities laws and FINRA rules. With a minimum of 7 years of relevant legal experience in the financial regulatory space, you will be responsible for determining and executing risk-based legal strategies, collaborating with investigative staff, researching and identifying legal requirements for charges, and recommending fair and effective outcomes.

This role also involves playing a leading role in advancing settlement discussions, conducting litigation preparation, drafting complaints and other legal documents, and conducting on-the-record testimony of witnesses. You will also work closely with other Enforcement attorneys and collaborate with other FINRA departments to prioritize matters based on risk.

We are looking for candidates with excellent oral and written communication skills, as well as strong interpersonal skills. You must be willing to work outside of business hours and travel overnight when necessary.

To be considered for this position, please submit an application as we accept applications on an ongoing basis. Please note that the “Apply Now” button on job board postings may not take you directly to our careers site. In this case, please enter into your browser to reach our site directly.

At FINRA, we strive to make our career site accessible to all users. If you need a disability-related accommodation during the application process, please contact our Employee Relations team.

In addition to a competitive salary, we also offer a comprehensive benefits package including health, dental, and vision insurance, as well as life, disability, and legal insurance. We also offer a 401(k) plan with company match, tuition reimbursement, and other benefits.

We value work-life balance and offer generous paid time off, including vacation, personal, sick, and volunteer service days. We also provide other paid leave options such as military leave, jury duty leave, bereavement leave, and parental leave.

As a securities regulator, we have strict rules and regulations in place for our employees. This includes restrictions on investments and financial disclosures. Employees are required to disclose all brokerage accounts and provide duplicate statements to FINRA. They are also subject to investment restrictions, including disposing of any securities issued by companies on our Prohibited Company List.

We also have policies in place regarding confidentiality and nepotism. We expect all employees to comply with these policies.

Please note that we are not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Any resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer. We value diversity and do not discriminate on the basis of 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.

Join FINRA's legal team as a Principal Counsel, Enforcement, and make a difference in the financial industry. Apply today and be a part of our mission to protect investors and promote market integrity.

Not specified

Comprehensive health, dental, and vision insurance, basic and supplemental life insurance, short- and long-term disability, long-term care, business travel accident, 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, 9 sick days, 2 volunteer service days, military leave, jury duty leave, bereavement leave, voting and election official leave, care of a family member leave, childbirth and parental leave, 9 paid holidays

Not specified

Risk assessment, legal strategy, advocacy, investigative planning, evidence assessment, settlement negotiation, litigation preparation, witness examination, data analytics, technology, collaboration, management, communication, interpersonal skills

Juris Doctor (J.D.) degree

Submit an application on the FINRA Careers website ()

Qualification and Experience Juris Doctor (J.D.) degree, minimum of seven years relevant legal experience, knowledge of securities laws and FINRA rules preferred

Legal