Counsel, Enforcement

Full-time 1 views
Company FINRA. Location Dallas, TX, United States

Public Interest


84300 to 151900

Min 4 yrs required


May 11, 2022

Aug 24, 2022

Apr 12, 2022


Counsel, Enforcement
The candidate will resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy. Will execute an effective risk-based legal strategy to 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. Effectively negotiate settlements, demonstrating knowledge of the record, and familiarity with the law and potential defenses. Contribute meaningfully to settlement negotiations and discussions with respondents, demonstrating knowledge of the record and familiarity with the law and potential defenses. Contribute meaningfully to internal discussions regarding legal strategy, demonstrating an understanding of the factual record and legal framework. Assist in litigation preparation and contribute meaningfully to litigation, including by conducting non-complex witness examinations in non-complex litigation. Draft clear and organized analysis, and effective advocacy documents. Plan for and conduct OTRs of witnesses, demonstrating ability to develop an effective transcript through active listening, follow-up, and knowledge of the record. Achieve Enforcement outcomes that are foreseeable and transparent in non-complex matters. Identify and assess relevant Principal Considerations. Recommend charges and sanctions consistent with the organization's priorities and principles. Draft and finalize settlement documents that clearly describe the facts, the basis for the organization's charges, and the Principal Considerations that support the sanction. Research and identify the legal requirements for charges. Identify and escalate issues where rules and guidance are ambiguous or silent. Contribute to discussions with other departments regarding interpretive or policy issues. Explain legal reasoning regarding non-complex matters or issues in meetings with respondents or other stakeholders. Resolve non-complex Enforcement matters timely. Actively monitor and advise in investigations to ensure they are focused and targeted, and identify necessary inquiries in real-time. Prepare cases for litigation to facilitate prompt filing, efficient document production, and a timely hearing. Manage time effectively to independently meet deadlines and provide work products in a timely manner. Demonstrate effective oral advocacy during negotiations and discussions, facilitating efficient progress of a matter. Prioritize matters based on risk. Establish timelines and manage teamwork and tasks to achieve them. Produce timely and complete written work product. Identify and escalate matters or issues that require re-prioritization. Avoid unnecessary research or investigative steps. Successfully collaborate with investigative staff to produce a sound factual record in non-complex matters. Partner with investigative staff to plan investigation and fully develop the record. Provide relevant and accurate legal advice to investigative and legal staff. Work effectively with investigative staff to ensure that written descriptions are supported by the record, accurate and clear. Identify and escalate gaps in the investigative record. Objectively review and clearly summarize the sufficiency of the evidence to establish a charge. Demonstrate ability to resolve non-complex matters with supervision, and provide high-quality work in team-based matters. Keep managers informed and incorporate feedback into planning and execution. Complete assignments in an efficient manner; leverage existing relevant precedents, such as work product in similar cases, where possible. Effectively communicate with other team members about non-complex factual and legal issues for analysis. Assist in litigation preparation by preparing exhibits, drafting witness outlines, and participating in strategy discussions. Conduct non-complex witness examinations in litigation. Should have Law degree and admission to the Bar. Must have 4+ years of relevant legal experience in a regulatory or legal environment. Excellent oral and written communication and litigation skills are required. Excellent interpersonal skills are needed.

Min Salary/Max Salary
USD 84300 to 151900 Annually

Additional info

Job Requisition ID: R-004171

Company info

Hiring Coordinator
12801 North Central Expressway
Suite 1050
Dallas, TX 75243

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