Principal Counsel, Enforcement

7-10 yrs required

Full-time

No

H1: Principal Counsel, Enforcement - Join FINRA and Make a Difference in Financial Regulation

H2: Overview:

- Role: Principal Counsel, Enforcement
- Organization: FINRA
- Location: Multiple locations (see job posting)
- Time type: Full time
- Job requisition ID: R-007990
- Education/Experience: Minimum of 7 years relevant legal experience in financial regulatory space preferred
- Work Conditions: Occasional work outside of business hours and overnight travel may be required.

H2: Job Description:

- Develop and execute risk-based legal strategies for assessing records in Enforcement matters.
- Collaborate with investigative staff to plan investigations and gather evidence.
- Research and identify legal requirements for charges.
- Make recommendations for fair and effective outcomes based on evidence and legal framework.
- Lead settlement discussions with respondents.
- Prepare for and conduct litigation, including drafting complaints and examining witnesses.
- Draft clear and organized analysis and advocacy documents.
- Conduct effective on-the-record testimony of witnesses.
- Leverage data analytics and technology in investigations.
- Collaborate with other Enforcement attorneys and FINRA departments.
- Prioritize matters based on risk.
- Incorporate feedback from managers into planning and execution.

H2: Qualifications:

- Minimum of 7 years relevant legal experience in financial regulatory space preferred.
- Knowledge of securities laws and FINRA rules preferred.
- Excellent oral and written communication and litigation skills.
- Excellent interpersonal skills.

H2: Benefits and Perks:

- Eligible for discretionary bonus in addition to base pay.
- Comprehensive health, dental, and vision insurance.
- Additional insurance options, including life, accidental death and dismemberment, and disability.
- Immediate participation and vesting in 401(k) plan with company match.
- Eligibility for additional FINRA-funded retirement contribution.
- Tuition reimbursement.
- 15 days of paid time off, 5 personal days, and 9 sick days (pro-rated in first year).
- 2 volunteer service days.
- Other paid leave options, including military leave, jury duty leave, and care of family member leave.
- 9 paid holidays (based on full-time schedule).

H2: Important Information:

- FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures.
- Must disclose all brokerage accounts and authorize broker-dealers to provide duplicate statements to FINRA.
- Must comply with investment restrictions, including disposing of securities on FINRA's Prohibited Company List.
- Must maintain securities accounts at firms that provide an electronic feed (e-feed) of data to FINRA.
- Must execute FINRA's Employee Confidentiality and Invention Assignment Agreement.
- Must comply with company's policy on nepotism.

H2: Equal Opportunity Employer:

- 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 ) which prohibit discrimination against qualified individuals with disabilities and protected veterans, respectively.

H2: How to Apply:

- To be considered for this position, please submit an application through FINRA's Careers site.
- Applications are accepted on an ongoing basis.
- If the "Apply Now" button on a job board posting does not take you directly to the FINRA Careers site, enter into your browser to reach the site directly.

H2: Search Firm Representatives:

- FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity.
- A valid written agreement and task order must be in place before any resumes are submitted to FINRA.
- Resumes submitted without a valid written agreement and task order will be deemed the sole property of FINRA.

H2: Make a Difference in Financial Regulation:

- Join FINRA as a Principal Counsel, Enforcement and help shape the financial industry.
- Apply now to be a part of a team dedicated to fair and effective enforcement.

Not specified

Comprehensive health, dental, and vision insurance, life and disability insurance, 401(k) with company match, tuition reimbursement, paid time off, volunteer service days, and more.

Not specified

Legal Research, Litigation Preparation, Negotiation, Risk Management, Communication, Teamwork

Juris Doctor (J.D.) degree and bar admission.

Submit application through FINRA Careers website.

Qualification and Experience Juris Doctor (J.D.), Bar Admission (state-specific)

Legal